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 |
|---|---|---|---|---|---|---|---|---|
| Brian David Katz | 2426045 | 4 | 06/19/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elmer Alexander Vargas | 7565630 | 1 | 06/07/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zachary Burton Seelbach | 7640885 | 2 | 05/12/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Salvador Rodriguezrodriguez | 7529807 | 2 | 05/06/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Taylor M Ohl | 6570476 | 1 | 02/11/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christie C Crawford | 6112969 | 1 | 01/19/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheridan S Pantoja | 7628215 | 4 | 01/07/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Barron | 6215597 | 1 | 12/09/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steve B Treutel | 2696170 | 1 | 12/06/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erin Ashley Lenihan | 4064166 | 1 | 09/03/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |