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 |
|---|---|---|---|---|---|---|---|---|
| Katrina Lynn Strumsky | 6143173 | 2 | 12/16/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Base Elliot Hammond | 6656080 | 1 | 08/22/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Juan Felipe Sanchez | 6721483 | 2 | 07/23/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mitchell Steven Behm | 1494507 | 3 | 07/19/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Warren Chang | 5783926 | 3 | 06/21/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Herraiz | 7005836 | 1 | 05/29/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Taylor V Fertitta | 6239809 | 1 | 04/02/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brett Ian Cassidy | 6790629 | 2 | 03/31/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Guardino | 2907957 | 1 | 03/18/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clarence Xavier Young | 5221375 | 4 | 01/20/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |