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 |
|---|---|---|---|---|---|---|---|---|
| Hector A Sanchez | 5399946 | 2 | 02/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean P Wheelahan | 6591077 | 3 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean P Wheelahan | 6591077 | 3 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Charles Buhmann | 4978182 | 1 | 02/26/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Paul Stymiest | 5020924 | 8 | 02/25/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| L M Ross | 6102180 | 1 | 02/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Brawley | 5493916 | 1 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deanna Rae Conerly | 6485628 | 4 | 02/17/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Archana Gupta | 4866634 | 1 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lewis Bjorn Bordoley | 5437098 | 2 | 02/16/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |