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 |
|---|---|---|---|---|---|---|---|---|
| Daryl W Dehn | 4778271 | 2 | 01/27/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Warren Chang | 5783926 | 3 | 01/19/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher John Russon | 5108670 | 1 | 12/16/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Arquimedes Eustaquio | 6149600 | 1 | 11/03/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Hughes Zimmerman | 2007585 | 2 | 10/27/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Thomas Clyne | 6148043 | 1 | 08/15/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Justin James Pike | 4677340 | 1 | 09/23/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Trey Edwin Clark | 4964356 | 1 | 08/21/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Doreen Kramer | 2507970 | 2 | 07/28/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lawrence Kimball Barber | 2932803 | 1 | 06/03/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |