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 |
|---|---|---|---|---|---|---|---|---|
| Amy C Smith | 6243693 | 1 | 06/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheridan W Tanner | 6122356 | 1 | 06/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Allen Gerig | 6375572 | 4 | 06/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Chan | 5109393 | 1 | 06/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin R Jordan | 6980607 | 2 | 05/01/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monte Keith Poole | 4165404 | 2 | 04/27/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Leduff | 5553451 | 3 | 04/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheryl R Brown | 5109785 | 1 | 03/27/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Kahn | 2072427 | 7 | 03/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Gary Paris | 5230089 | 1 | 03/13/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |