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 |
|---|---|---|---|---|---|---|---|---|
| Alexandra Cooke | 7186575 | 1 | 09/22/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew R Saland | 4980466 | 1 | 09/20/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Joseph Carlin | 1928901 | 1 | 07/11/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Casey Michael Smith | 6645139 | 1 | 06/22/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carlos Alberto Prince | 5312820 | 2 | 05/17/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Branden Jennings Minuth | 2841775 | 1 | 03/08/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jorge Luis Taverasurena | 7172947 | 3 | 02/16/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Robert Harris | 7435822 | 4 | 11/27/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Robert Harris | 7435822 | 4 | 10/17/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Robert Harris | 7435822 | 4 | 09/17/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |