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 |
|---|---|---|---|---|---|---|---|---|
| Anna M McCormick | 4135436 | 6 | 05/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Naromie Saint-Clair | 5544877 | 12 | 05/18/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Naromie Saint-Clair | 5544877 | 12 | 05/18/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Frank Maniatis | 1818227 | 2 | 04/24/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Joseph Boccia | 6235618 | 1 | 04/17/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angela Lissete Bush | 7693112 | 3 | 04/10/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maya Chantel Byrd | 7565508 | 4 | 04/06/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chungyanjoanne Lo | 6695547 | 6 | 03/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin Fish | 6346559 | 4 | 03/31/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 9 | 03/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |