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 |
|---|---|---|---|---|---|---|---|---|
| Stephen E Applebaum | 3240220 | 3 | 02/10/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alfredia Fleshia Lewis | 3230588 | 1 | 12/19/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Dewitt Bateman | 4737887 | 2 | 12/17/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ghassan C Howell | 5606963 | 1 | 12/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Bridger Jones | 6776004 | 1 | 10/31/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dustin F Moore | 5979792 | 1 | 10/07/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amy McCormick | 3149902 | 1 | 09/28/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew John Gerth | 6836944 | 1 | 09/02/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Denny Hooten | 7278810 | 2 | 08/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lurenzo MacKlin | 5185575 | 2 | 07/21/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |