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 |
|---|---|---|---|---|---|---|---|---|
| Angela-Marie Tomaszycki | 7655896 | 2 | 08/08/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonjacques Fajardo | 7511919 | 3 | 08/07/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Angela-Marie Tomaszycki | 7655896 | 2 | 07/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cesar Agustin Peralta | 2960311 | 1 | 07/26/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary Beth Isom | 7161282 | 1 | 07/25/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Edwards | 2317865 | 1 | 07/19/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Steven Marks | 704929 | 3 | 07/19/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Earl Moore | 6904553 | 1 | 07/14/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Damien Mora | 6284094 | 1 | 07/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anna M McCormick | 4135436 | 6 | 07/11/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |