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 |
|---|---|---|---|---|---|---|---|---|
| Naromie Saint-Clair | 5544877 | 12 | 05/23/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Don Hardison | 5083497 | 3 | 03/15/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Arnulfo Venegas | 7639653 | 2 | 09/22/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Charles Grant | 7368308 | 2 | 08/17/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Riley Wayne Hawkins | 7565452 | 1 | 07/08/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick D Miller | 7296283 | 2 | 06/19/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jovonn Deangelo Stull | 6333825 | 2 | 05/26/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph J Shannon | 6702837 | 1 | 04/19/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick D Miller | 7296283 | 2 | 03/18/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Wood | 6668093 | 1 | 02/20/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |