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 Lawson | 5237555 | 3 | 03/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel E Colligan | 5457737 | 1 | 03/03/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Jimenez | 7010331 | 2 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latoya Lavone Martin | 5134112 | 16 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Patrick McKenna | 4948048 | 1 | 03/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erica Anne Easterly | 2903148 | 1 | 02/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander Oliner | 3147492 | 4 | 02/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared Patrick Efurd | 6695170 | 2 | 02/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Walsh | 5732634 | 2 | 02/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Hoffman | 4900510 | 4 | 02/23/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |