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 |
|---|---|---|---|---|---|---|---|---|
| Bethany N Halvorson | 5099048 | 1 | 04/15/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Shyan M Ardalan | 6387163 | 2 | 03/25/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Toan Ta | 6336916 | 2 | 12/05/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cornelia S O'Grady | 4621507 | 2 | 11/14/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hector M Amezcua | 5677533 | 1 | 08/06/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Willis | 6315934 | 1 | 07/17/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mitchell Steven Behm | 1494507 | 3 | 07/01/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cynthia S Hanning | 4542542 | 1 | 04/16/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephanie Griffith Lyman | 5835163 | 1 | 09/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bryan Richard MacKey | 5444779 | 2 | 04/25/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |