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 Christian Kizman | 2298944 | 3 | 12/01/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Luchan Ong | 1232869 | 3 | 07/14/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Christian Kizman | 2298944 | 3 | 07/14/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Donald L Smith | 2242509 | 1 | 01/26/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Anthony Tiano | 1867558 | 3 | 11/24/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bruce Gregory Barth | 13880 | 8 | 09/16/2008 | Customer Dispute | Final | $75,000.00 | $0.00 | See FINRA Report |
| Michael B Cunningham | 2246577 | 3 | 07/11/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George Frederick Decker | 63642 | 1 | 05/30/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathan Scott Parker | 2198407 | 2 | 05/07/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Murray | 2933806 | 1 | 01/15/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |