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 |
|---|---|---|---|---|---|---|---|---|
| Daniel M Harris | 7628127 | 2 | 01/14/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew A Lentz | 6366170 | 1 | 01/12/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Marston | 7659282 | 1 | 01/01/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victoria G Deyo | 6289029 | 1 | 01/01/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kerry L Cabral | 6942742 | 1 | 11/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Puka | 6515698 | 1 | 10/04/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Fradi Dababneh | 7679158 | 1 | 10/03/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheridan S Pantoja | 7628215 | 4 | 09/28/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Hoskins | 7198278 | 1 | 08/31/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Christopher Herman | 7171762 | 2 | 08/20/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |