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 |
|---|---|---|---|---|---|---|---|---|
| Eric David Nicholson | 6432688 | 1 | 05/06/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Duncan Geoffrey Harp | 7056517 | 1 | 04/23/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Wc Miller | 4937683 | 1 | 04/12/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Paul Albright | 6272340 | 1 | 04/08/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Reece Clift Barnett | 6203047 | 1 | 02/02/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edward Legg | 5309460 | 1 | 01/21/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Isabel Signe Irvine | 6443243 | 1 | 12/15/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel K Muller | 5242704 | 1 | 12/12/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Zacks | 7020992 | 1 | 12/04/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bregg Rodney Binczak | 3271490 | 1 | 10/23/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |