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FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated

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.

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Displaying 1,321-1,330 out of 1,384 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Michael Anthony Goodson6036990202/13/2015FinancialFinal$0.00$0.00See FINRA Report
Stephanie L Addison2282066202/13/2015FinancialFinal$0.00$0.00See FINRA Report
Priyank P Rana6605077102/11/2015FinancialFinal$0.00$0.00See FINRA Report
Craig Brinton5498737302/09/2015FinancialFinal$0.00$0.00See FINRA Report
Larry Mitchell Hodge6350329102/06/2015FinancialFinal$0.00$0.00See FINRA Report
Gregory G Davlin6132655202/01/2015FinancialFinal$0.00$0.00See FINRA Report
Sonat Topuzoglu5054652302/01/2015FinancialFinal$0.00$0.00See FINRA Report
Sonat Topuzoglu5054652302/01/2015FinancialFinal$0.00$0.00See FINRA Report
Dustin Duin6366255202/01/2015FinancialFinal$0.00$0.00See FINRA Report
Miguel Angel Rodriguez6355716502/01/2015FinancialFinal$0.00$0.00See FINRA Report

1,384 Results

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