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 |
|---|---|---|---|---|---|---|---|---|
| Wendy Williams Ray | 7203573 | 1 | 02/03/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Joshua P Ainsley | 7693044 | 7 | 01/23/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Ainsley | 7693044 | 7 | 01/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alexis J Gallegos Mendez | 7639913 | 1 | 01/19/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole C Chapple | 7434041 | 2 | 01/04/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Ainsley | 7693044 | 7 | 12/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Ainsley | 7693044 | 7 | 12/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Ainsley | 7693044 | 7 | 12/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric M Green | 6565131 | 5 | 12/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Britton Hue Trimmer | 4184491 | 5 | 12/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |