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 |
|---|---|---|---|---|---|---|---|---|
| Zachary James Halloran | 6907432 | 2 | 09/02/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William I Hargett | 6243009 | 1 | 08/13/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Caleca | 6425701 | 1 | 06/06/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheridan S Pantoja | 7628215 | 4 | 05/28/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elena O Saveleva | 5742463 | 1 | 05/27/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kristy Ann Gonzalez | 2925607 | 2 | 05/15/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Roger Schafer | 7667737 | 1 | 05/14/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Logan P Davies | 7679178 | 3 | 05/05/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shyan M Ardalan | 6387163 | 2 | 04/21/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert E Meyer | 6045664 | 1 | 04/03/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |