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 |
|---|---|---|---|---|---|---|---|---|
| Matthew D Loewe | 6278415 | 1 | 05/25/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Baker | 6857260 | 1 | 04/28/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raquel Austin | 4317943 | 2 | 04/27/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shanna Nicole Cannon | 7639495 | 1 | 03/05/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Omar Vang | 7500085 | 1 | 02/24/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheridan S Pantoja | 7628215 | 4 | 02/14/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Godinez | 6878454 | 2 | 02/02/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Traci Nole | 5876511 | 1 | 01/19/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marina Shinsky | 6193765 | 2 | 11/28/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin James Peterson | 7486358 | 3 | 11/15/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |