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 |
|---|---|---|---|---|---|---|---|---|
| Simon Brinton Smith | 7679094 | 1 | 03/20/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Solarin | 7476759 | 1 | 01/16/2017 | 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 |
| Christopher J Schofield | 7639654 | 1 | 11/12/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cedric A Jones | 7060159 | 1 | 10/11/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Charles Grant | 7368308 | 2 | 10/07/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas B Condit | 6720851 | 1 | 08/18/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesse Eugene Lehman | 7221014 | 2 | 07/05/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Melanie Anthoula Anthony | 6518788 | 2 | 06/16/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |