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 J Bissett | 6021895 | 3 | 05/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elaine M Delancer | 7048731 | 1 | 05/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jessica R Stewart | 4853387 | 1 | 05/30/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Neel Burman | 7459378 | 1 | 05/29/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Malik Farrad Waleed | 6134497 | 4 | 05/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard A Barker | 6091770 | 1 | 05/23/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Allison Nicole Jewett | 7679173 | 1 | 05/23/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Davis | 6942267 | 1 | 05/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Isaiah Thomas Williams | 6211219 | 1 | 05/22/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Reed Horace Smith | 2708938 | 1 | 05/21/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |