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 |
|---|---|---|---|---|---|---|---|---|
| Stacey Baines Jones | 7005843 | 6 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Christopher Gatto | 1415454 | 7 | 08/01/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cynthia Buss Maddox | 7462151 | 1 | 03/01/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allan Leo Tentler | 5601241 | 2 | 11/18/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 11/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| F D Georger | 3057970 | 2 | 11/17/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Luke Bergstrom | 2887425 | 2 | 03/19/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Don Hardison | 5083497 | 2 | 01/27/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Walid Tolba Morsi | 7186626 | 9 | 08/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dmitriy G Stepanov | 5983978 | 2 | 01/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |