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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan A Guerin | 6978150 | 1 | 03/29/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Baldemar Garza | 7528747 | 1 | 03/28/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua P Ainsley | 7693044 | 7 | 03/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chungyanjoanne Lo | 6695547 | 6 | 03/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Chungyanjoanne Lo | 6695547 | 6 | 03/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rachel Irwin-Richardson | 2940021 | 2 | 02/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anna M McCormick | 4135436 | 6 | 02/16/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 9 | 02/15/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jason L Palmgren | 7656001 | 3 | 02/14/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Summer Shkoukani | 4148055 | 1 | 02/10/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |