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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Matthew Sesko | 7608512 | 2 | 12/23/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lurenzo MacKlin | 5185575 | 2 | 12/20/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Rahner | 7124695 | 1 | 10/12/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Matthew Sesko | 7608512 | 2 | 04/30/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ashley Grothaus | 6124241 | 1 | 04/21/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Austin S Burt | 7486345 | 1 | 03/20/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward G Rakosky | 5645469 | 2 | 11/29/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Monroe Chestnut | 7692960 | 2 | 11/18/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert H Dierking | 7616396 | 1 | 05/13/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Taylor L Reemsnyder | 5863945 | 1 | 05/08/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |