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 |
|---|---|---|---|---|---|---|---|---|
| Jordan Marissa Summers | 6320682 | 1 | 06/03/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Irana Gomez | 6699474 | 2 | 05/17/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brad Dieckhaus | 6075263 | 1 | 03/01/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Winfield Chapman | 5192302 | 1 | 02/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Isabel Cote | 6854240 | 3 | 02/09/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Logan P Davies | 7679178 | 3 | 01/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lilia Hernandez | 7002313 | 1 | 12/21/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter I Baldeo | 6023171 | 2 | 11/23/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Brink | 6774458 | 1 | 11/03/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Garth Harbert | 6681198 | 1 | 10/10/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |