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FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated

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.

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Displaying 10 out of 143 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Roger M Wallach2460445206/18/2024RegulatoryFinal$0.00$0.00See FINRA Report
Marvin Somlo6617205106/12/2024RegulatoryFinal$0.00$0.00See FINRA Report
Don Hardison5083497303/15/2024RegulatoryFinal$0.00$0.00See FINRA Report
Ronald Charles Senegal1511146402/02/2024RegulatoryFinal$0.00$0.00See FINRA Report
Wayne Dale Reid3103262301/30/2024RegulatoryFinal$0.00$0.00See FINRA Report
Eduardo Andrew Martinez5950799408/22/2023RegulatoryFinal$0.00$0.00See FINRA Report
Jason P Kelso4828284202/28/2023RegulatoryFinal$0.00$0.00See FINRA Report
Stefan Nicholas6177685111/17/2022RegulatoryFinal$0.00$0.00See FINRA Report
Stephen Blumenfeld5068295111/14/2022RegulatoryFinal$0.00$0.00See FINRA Report
Stacey Baines Jones7005843609/30/2022RegulatoryFinal$0.00$0.00See FINRA Report

143 Results

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