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 |
|---|---|---|---|---|---|---|---|---|
| Jessica Larson | 6058239 | 1 | 11/18/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Monroe Chestnut | 7692960 | 2 | 11/11/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| F D Georger | 3057970 | 2 | 08/19/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Byron | 5425190 | 1 | 02/06/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Johnny Leo Deforest | 7123121 | 1 | 12/20/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Max J Mahood | 7565512 | 1 | 12/12/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Paul Johnson | 7210696 | 1 | 12/03/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Salvatore Salerno | 7368543 | 1 | 09/20/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elisa Moore | 5969203 | 1 | 09/01/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Egor Shiroglazov | 7444151 | 1 | 05/29/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |