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 |
|---|---|---|---|---|---|---|---|---|
| Patrick E Andrews | 7639699 | 1 | 11/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Connor Wade Kohlhase | 7595396 | 1 | 11/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Raymond Lucas | 5306165 | 1 | 11/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen G Wilkinson | 5465845 | 2 | 10/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mikah Lee Calp | 7622821 | 2 | 09/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Craig R Hairston-Green | 7565383 | 1 | 09/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tehran Stokes | 7199206 | 4 | 08/30/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Fish | 6346559 | 4 | 08/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Stala | 2277010 | 3 | 08/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Elizabeth Joseph | 4738076 | 1 | 08/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |