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 |
|---|---|---|---|---|---|---|---|---|
| Lauren Julia Kaufman | 5383856 | 5 | 05/09/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Petrowski | 7110849 | 1 | 04/05/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Candice Gladney | 7606795 | 1 | 03/29/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jorgie Miles Fis | 6158788 | 1 | 03/14/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Meredith K Lovelace | 4686627 | 2 | 03/14/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jamal Scott | 6043478 | 1 | 03/12/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Huesken | 6196183 | 2 | 03/11/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nestor Hsu | 7321052 | 3 | 03/04/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marq Corona | 7049750 | 1 | 03/01/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Deborah L Griffith | 3088376 | 1 | 02/29/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |