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 |
|---|---|---|---|---|---|---|---|---|
| Kelly Ferguson | 4056018 | 6 | 05/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Ferguson | 4056018 | 6 | 05/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Oliner | 3147492 | 4 | 05/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Zaed S Shamoon | 6929288 | 3 | 05/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Oliner | 3147492 | 4 | 04/29/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando Ornelas | 7660835 | 3 | 04/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Victor A Altadonna | 6085311 | 1 | 04/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Hicks | 7079766 | 1 | 04/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando Ornelas | 7660835 | 3 | 04/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Fernando Ornelas | 7660835 | 3 | 04/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |