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 |
|---|---|---|---|---|---|---|---|---|
| Shawn William Hanna | 4431869 | 1 | 10/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Deandre' Biggs | 6929817 | 3 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chad Brown | 6131357 | 1 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ashley Elizabeth Gardner | 5505279 | 3 | 10/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle Ann Bada | 2731965 | 2 | 09/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ann Novy | 7060164 | 6 | 09/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tyler Paul Sutherland | 6699752 | 4 | 09/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsey Diane Waffle | 7639928 | 5 | 09/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Johnson Almond | 6833894 | 1 | 09/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |