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 |
|---|---|---|---|---|---|---|---|---|
| Christopher J White | 6879879 | 1 | 11/22/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Sunghoon Kim | 7501176 | 1 | 11/17/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Lewis | 7692990 | 2 | 10/23/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeannette H Trevino | 5135021 | 1 | 10/11/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Williams | 6386374 | 1 | 10/04/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Svetlana Kletsina | 7418441 | 1 | 09/14/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua A Isernia | 6484712 | 1 | 08/09/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Marie Croyle | 1654590 | 3 | 07/05/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Caleb Joseph Glick | 6573468 | 1 | 06/07/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dmitriy G Stepanov | 5983978 | 2 | 06/01/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |