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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Kim | 6948814 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John M Harper | 6704061 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Robert Curran | 4294228 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edson Arroyo | 6431945 | 3 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |