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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Alberto Prince | 5312820 | 2 | 08/21/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen T Shavers | 6383907 | 1 | 07/29/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Robert Harris | 7435822 | 4 | 07/17/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Dadci | 6824449 | 1 | 07/16/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark E Bogdon | 3142417 | 1 | 05/09/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sandra R Cross | 7191573 | 3 | 04/24/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Paul Ebeling | 2989969 | 1 | 04/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monte Keith Poole | 4165404 | 2 | 03/07/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bryan D McKinney | 6432222 | 1 | 02/26/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erin Annette Turner | 4449415 | 2 | 01/30/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |