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 |
|---|---|---|---|---|---|---|---|---|
| Stephen J Bissett | 6021895 | 3 | 06/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jesus G Sanchez | 4902989 | 1 | 06/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nestor Hsu | 7321052 | 3 | 06/06/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melika Assadi | 7693007 | 7 | 06/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen J Bissett | 6021895 | 3 | 05/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elaine M Delancer | 7048731 | 1 | 05/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jessica R Stewart | 4853387 | 1 | 05/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Allison Nicole Jewett | 7679173 | 1 | 05/23/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura Lynn Soladay | 2131009 | 1 | 05/21/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Brandon Kaley | 6660084 | 1 | 05/14/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |