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 |
|---|---|---|---|---|---|---|---|---|
| Gregory David Gerczak | 4076507 | 2 | 10/22/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tbruce Nelson | 1195254 | 1 | 08/17/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Louise W Glover | 2131841 | 1 | 05/22/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Phillip McAbee | 1030577 | 4 | 01/18/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Terence J Creighton | 733174 | 3 | 11/29/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harvey Rudowitz | 1302642 | 3 | 04/09/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Thomas Francis Nelson | 1344493 | 2 | 02/26/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Paige Lynn Spalding | 2376441 | 1 | 07/26/1985 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Andrew Blick | 858393 | 4 | 05/01/1985 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philip H Bruneau | 2104821 | 3 | 12/01/1978 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |