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 |
|---|---|---|---|---|---|---|---|---|
| Michael Patrick Reyes | 3006027 | 3 | 05/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sheldon Shane Stephen | 5910494 | 6 | 05/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Samuel Phillips | 7153751 | 3 | 05/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Teti | 4809528 | 3 | 05/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Garrett Dahm | 6819919 | 2 | 05/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Teti | 4809528 | 3 | 05/19/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesus Manuel Amador | 6823844 | 2 | 05/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lee Ann Hart Keyser | 2588587 | 6 | 05/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Lawrence Gosz | 6810396 | 5 | 05/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy S Bright | 5733304 | 9 | 05/05/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |