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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Patrick Tosha | 5970854 | 3 | 01/20/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Louisa Hancock | 7221056 | 1 | 09/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Patrick Tosha | 5970854 | 3 | 05/08/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael David McKay | 6423726 | 1 | 01/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kevin P Smith | 6345204 | 1 | 10/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Felix Rene Sanchez Carrasquillo | 5392527 | 1 | 06/15/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott T MacBeth | 3166221 | 2 | 01/25/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Bomberry | 6753400 | 1 | 11/30/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 11/16/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Todd G Sherman | 5171201 | 1 | 11/09/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |