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 |
|---|---|---|---|---|---|---|---|---|
| Timothy D Leonard | 4399421 | 1 | 02/15/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay N Anderson | 2821820 | 2 | 04/03/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph Chesney Evans | 1036738 | 3 | 02/14/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Henry Brown | 713486 | 5 | 10/06/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael George Ryan | 1767041 | 3 | 07/27/2000 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Trent Miller | 1802290 | 1 | 06/02/1999 | Customer Dispute | Final | $100,850.00 | $0.00 | See FINRA Report |
| John Calvin Hemphill | 1978556 | 2 | 01/08/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea Marshall Williams | 5118759 | 1 | 01/01/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Victoria Anne Staebler | 4361476 | 1 | 12/08/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Sullivan | 840962 | 5 | 05/13/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |