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 |
|---|---|---|---|---|---|---|---|---|
| Robin Ann Smith | 4251358 | 2 | 06/14/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juan Miguel Romo | 2642020 | 1 | 05/21/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Manuel Enrique Bello | 6193470 | 1 | 02/22/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zachary Gerard Stephan | 7162439 | 1 | 12/31/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sarah Jane Courtney | 7312273 | 1 | 12/31/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Traverso | 7496114 | 1 | 12/16/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tony K Yee | 7708666 | 1 | 12/16/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Ryan Eherts | 7065791 | 3 | 12/06/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cole Cardon | 6168587 | 1 | 11/14/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Cao | 7222205 | 1 | 10/31/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |