Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Christina Faith Davis | 7023216 | 1 | 11/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephan Amvame Ekekang | 6942686 | 10 | 11/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephan Amvame Ekekang | 6942686 | 10 | 11/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Leffin | 4812799 | 2 | 10/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Perez Nash | 6880030 | 6 | 10/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Perez Nash | 6880030 | 6 | 10/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lawanda Thomas | 6641959 | 3 | 10/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kara Cioffi | 5446138 | 1 | 10/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Desirae Nicole Aguirre | 6099897 | 1 | 10/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Britton Hue Trimmer | 4184491 | 5 | 10/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |