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 |
|---|---|---|---|---|---|---|---|---|
| Naromie Saint-Clair | 5544877 | 12 | 12/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Naromie Saint-Clair | 5544877 | 12 | 12/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jean G Charles | 7692972 | 1 | 12/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel E Quintana | 7655836 | 1 | 12/07/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jorge Luis Taverasurena | 7172947 | 3 | 12/06/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jorge Luis Taverasurena | 7172947 | 3 | 12/06/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shaun Patrick Riley | 7239863 | 1 | 12/01/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Loseli Daza | 7863049 | 4 | 11/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Loseli Daza | 7863049 | 4 | 11/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ne'Quan Williams | 7329147 | 3 | 11/19/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |