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 |
|---|---|---|---|---|---|---|---|---|
| Michael A Bois | 1312990 | 1 | 04/24/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thad Jacob Pike | 5372820 | 1 | 03/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allan Leo Tentler | 5601241 | 2 | 03/26/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Maurice Kirk Carr | 3060371 | 1 | 02/01/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Alex Dubee | 5851749 | 2 | 11/13/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Cowles | 1967614 | 2 | 10/04/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert John Kostigen | 1203410 | 4 | 09/18/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Oscar Anota | 2608283 | 1 | 09/15/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Jeffrey Corbett | 2909721 | 1 | 08/06/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michele Turk | 4653711 | 2 | 07/26/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |