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 |
|---|---|---|---|---|---|---|---|---|
| Jason I Hollon | 5522381 | 2 | 12/21/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Tovar | 6865509 | 1 | 12/15/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Gustavo Diaz | 1715827 | 2 | 12/03/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin James Regan | 5709020 | 1 | 11/01/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Miranda Rae Butler | 5021550 | 1 | 08/02/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kandi Ann Lynn | 6672964 | 1 | 06/22/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean P Wheelahan | 6591077 | 3 | 06/20/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joshua N Rowe | 6227351 | 1 | 05/25/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Watson | 6326475 | 1 | 05/23/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kieron Flint | 4614569 | 2 | 05/03/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |