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 |
|---|---|---|---|---|---|---|---|---|
| Carmen Elizabeth Hutchinson | 6560283 | 1 | 04/06/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Ray | 7008740 | 1 | 03/15/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Babak Zaringhalam | 7529302 | 1 | 03/14/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jackson John Rynda | 6505043 | 1 | 01/14/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cleo James Kontoulas | 6551171 | 1 | 01/02/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd M O Donnell | 5448302 | 1 | 10/29/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Logan Ahlers | 6071197 | 1 | 10/27/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Lawrence Sughroue | 7261337 | 2 | 10/20/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Lawrence Sughroue | 7261337 | 2 | 10/15/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Connor A Grimes | 6548372 | 1 | 09/17/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |