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 |
---|---|---|---|---|---|---|---|---|
Roger M Wallach | 2460445 | 2 | 06/18/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Marvin Somlo | 6617205 | 1 | 06/12/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Don Hardison | 5083497 | 3 | 03/15/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Ronald Charles Senegal | 1511146 | 4 | 02/02/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Wayne Dale Reid | 3103262 | 3 | 01/30/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Eduardo Andrew Martinez | 5950799 | 4 | 08/22/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Jason P Kelso | 4828284 | 2 | 02/28/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Stefan Nicholas | 6177685 | 1 | 11/17/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Stephen Blumenfeld | 5068295 | 1 | 11/14/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Stacey Baines Jones | 7005843 | 6 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |