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 |
|---|---|---|---|---|---|---|---|---|
| Stanley Isaac Soud | 5353037 | 1 | 04/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan I Resabala | 7315788 | 1 | 04/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 04/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean Louis Cuadra | 7543883 | 10 | 04/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Lawrence Gosz | 6810396 | 5 | 04/12/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Leigh Fah Sang | 7247644 | 1 | 04/11/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jessica Dorais | 6408671 | 1 | 04/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |