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 |
|---|---|---|---|---|---|---|---|---|
| A K Roberson | 2298900 | 3 | 09/01/2023 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| Michael Rex Crosett | 2250412 | 2 | 09/01/2023 | Investigation | $0.00 | $0.00 | See FINRA Report |