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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Elias Lucero | 6410995 | 6 | 04/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lea Marie Walsh | 7068556 | 1 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Allan Potter | 6595764 | 2 | 03/31/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Vincent Grassia | 6783358 | 4 | 03/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Vincent Grassia | 6783358 | 4 | 03/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Vincent Grassia | 6783358 | 4 | 03/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Krzysztof Zoltek | 5519912 | 2 | 03/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Howell Rice | 5335577 | 6 | 03/16/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vehantre Brown | 6559812 | 2 | 03/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert James Walker | 6823860 | 1 | 03/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |