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 |
|---|---|---|---|---|---|---|---|---|
| Anna M McCormick | 4135436 | 6 | 06/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 06/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rafael Alberto Rivadeneira | 2402888 | 2 | 06/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Thomas Marcum | 5432449 | 3 | 06/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy Llamas | 5458337 | 1 | 06/15/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Nicole Sanders | 7243388 | 1 | 06/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela Marie Ross | 2180294 | 1 | 06/02/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Damien Rolando Barros | 6779340 | 1 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Ottwin Anderson | 2139689 | 4 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Ottwin Anderson | 2139689 | 4 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |