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 Joseph Valdes | 1412990 | 14 | 11/06/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Oliver | 1101272 | 1 | 12/05/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jerry Charles McMullen | 1042082 | 7 | 10/17/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy C Womack | 2310186 | 1 | 10/08/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott David Lile | 2390039 | 2 | 01/04/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 10/27/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Jay Edman | 1633252 | 1 | 03/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John R Pate | 1805356 | 1 | 03/10/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Simon Alexander | 730282 | 2 | 02/25/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gaines C Walker | 728023 | 4 | 12/20/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |