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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Principe | 367989 | 1 | 05/29/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 08/11/1973 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |