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 |
|---|---|---|---|---|---|---|---|---|
| Megan E Allen | 5702417 | 5 | 06/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly P Ur | 5872541 | 1 | 05/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Megan Marie Stickell | 4850657 | 6 | 05/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kazon Rosia Valentine | 6583316 | 1 | 05/21/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lashonda Latreece Brown-Johnson | 5014511 | 2 | 05/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Embree | 4469361 | 1 | 05/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bijan Aron Pounaki | 6834523 | 1 | 05/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason Robert Steele | 6222548 | 2 | 05/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Trey Whipple | 2701809 | 1 | 04/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Helwagen | 5698811 | 1 | 04/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |