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 |
|---|---|---|---|---|---|---|---|---|
| Richard Lee Church | 4780094 | 1 | 09/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lindsey Diane Waffle | 7639928 | 5 | 09/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Paul Scherer | 7110356 | 6 | 09/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Alan Boggan | 2414174 | 5 | 09/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Lee Bradley | 4416191 | 3 | 09/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephan Amvame Ekekang | 6942686 | 10 | 09/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Howard Anema | 5682865 | 1 | 08/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nas Adel Allan | 4562149 | 3 | 08/15/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shahzib A Hussain | 6823848 | 1 | 08/15/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erik Scott Kirschner | 2657758 | 6 | 08/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |