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 |
|---|---|---|---|---|---|---|---|---|
| Martha Marie Spence | 5239445 | 1 | 12/31/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Diana Lauck Cook | 2872795 | 1 | 12/20/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward F Clohessey | 6346324 | 1 | 12/17/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Melenie Rena Charles | 4137717 | 1 | 10/25/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Wynne Patrick Murphy | 1163570 | 3 | 02/01/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Zilkowski | 1480780 | 4 | 08/21/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Timothy O'Connell | 1283449 | 2 | 10/25/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Roger Rice | 1879708 | 1 | 07/25/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle William Morgan | 2610322 | 2 | 02/09/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Andrew Denucci | 1835469 | 4 | 02/02/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |