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 |
|---|---|---|---|---|---|---|---|---|
| John Burke | 7662649 | 1 | 02/03/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordin Ryan | 4539685 | 1 | 01/16/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Najee Sanders | 6560314 | 1 | 12/05/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan Barnett | 6020507 | 3 | 12/02/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew V Alonge | 7144770 | 1 | 11/01/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Ryan Johnson | 6425620 | 1 | 07/24/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jovonn Deangelo Stull | 6333825 | 2 | 07/16/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Austin Sandoval | 7486728 | 1 | 04/22/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dylan Powell Walker | 7158402 | 1 | 12/05/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Moas | 5963338 | 1 | 11/17/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |