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 |
|---|---|---|---|---|---|---|---|---|
| Prescott Bevier Rowe | 6008801 | 1 | 02/16/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John R Dobay | 1790935 | 2 | 01/28/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Henry Winkle | 6278441 | 1 | 01/07/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael A Cerniga | 7160737 | 1 | 01/04/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 09/06/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 09/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 08/30/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erin Annette Turner | 4449415 | 2 | 08/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kristyn Brianna Omeara | 6562099 | 1 | 08/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Hill | 7040894 | 1 | 06/26/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |