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 |
|---|---|---|---|---|---|---|---|---|
| Jessica Lee Bates | 6795142 | 2 | 03/23/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonatan Rosa | 7639496 | 1 | 03/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patricio Miguel Panuncio | 6740893 | 2 | 03/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Fish | 6346559 | 4 | 02/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Fernando J Carrillo | 4836046 | 2 | 01/27/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mohammad Juwel | 6901205 | 3 | 12/30/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Homer Whiddon | 2514752 | 1 | 12/23/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mohammad Juwel | 6901205 | 3 | 12/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mohammad Juwel | 6901205 | 3 | 12/20/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cesar Gustavo Delgado Hinojos | 6769483 | 1 | 12/17/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |