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 |
|---|---|---|---|---|---|---|---|---|
| Ethan Quin Alvarez | 7225412 | 1 | 10/05/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Moll | 7123094 | 1 | 10/04/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Riley Jospeh Goldstein | 7004168 | 1 | 09/05/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan Edwin Lopez | 7189051 | 2 | 07/30/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamim Paul Gomes | 7439405 | 1 | 07/27/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Gosciminski | 7486335 | 1 | 07/15/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin James King | 3251097 | 1 | 07/13/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christian D'Angelo Campbell | 6844809 | 1 | 06/09/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ashley Nicole Thomas | 7862970 | 1 | 03/23/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Y Owen | 7283832 | 1 | 01/28/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |