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 |
|---|---|---|---|---|---|---|---|---|
| Joseph L Turner | 5493757 | 1 | 04/07/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Surafeal Wolday | 6771605 | 1 | 04/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Marie Sulik | 2210297 | 6 | 04/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Marie Sulik | 2210297 | 6 | 04/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Eric Thomas | 6182937 | 2 | 04/04/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Rodriguez | 6355716 | 5 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Rodriguez | 6355716 | 5 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miguel Angel Rodriguez | 6355716 | 5 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jevon Evans | 6691739 | 2 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicole Andrea Hall | 6310574 | 1 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |