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 |
|---|---|---|---|---|---|---|---|---|
| Scott L Tobin | 5176866 | 1 | 08/20/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas John Blicha | 5767006 | 1 | 06/09/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Ross Nathan | 7191678 | 4 | 03/12/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher J Logan | 6091367 | 1 | 03/11/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nisha Partab | 6013577 | 1 | 02/20/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian C Short | 6060741 | 1 | 02/15/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Huynh | 7049198 | 1 | 01/30/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian D Sheppard | 5431677 | 1 | 12/31/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan C Smith | 6768481 | 1 | 12/22/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Farhat Eddie Ziadeh Farhat | 6798173 | 1 | 11/30/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |