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 |
|---|---|---|---|---|---|---|---|---|
| Diane Finch | 2759338 | 1 | 07/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Alan Boggan | 2414174 | 5 | 07/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melanie Anthoula Anthony | 6518788 | 2 | 07/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ann Novy | 7060164 | 6 | 07/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shavkat Safaev | 6180423 | 2 | 07/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shavkat Safaev | 6180423 | 2 | 07/08/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Ferguson | 4056018 | 6 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephan Amvame Ekekang | 6942686 | 10 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheldon Shane Stephen | 5910494 | 6 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Elias Lucero | 6410995 | 6 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |