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 |
|---|---|---|---|---|---|---|---|---|
| Keith J Courser | 7026260 | 1 | 02/23/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan M Schriner | 5367773 | 1 | 02/07/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dustin White | 6568955 | 1 | 01/02/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip Maxey Gibbs | 6916401 | 1 | 11/16/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Lewis | 7692990 | 2 | 10/01/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kyle Freise Holloway | 6720787 | 1 | 09/18/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nathaniel Joseph Blaine | 6587744 | 1 | 09/10/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Yuta Kenney | 6749601 | 1 | 07/22/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Eric Thomas | 6182937 | 2 | 06/30/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christina Quick | 7419698 | 1 | 06/28/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |