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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Cheleuitte | 5576467 | 1 | 07/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carol A Sandlin | 6329480 | 1 | 06/25/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Manuel Deverozon Dortch | 5242054 | 1 | 04/29/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tracy L Dorics | 5276127 | 1 | 03/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 02/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erica Chavez | 6099945 | 1 | 02/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeff Braley | 6147344 | 1 | 02/03/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Edwin Rogers | 5543696 | 1 | 01/17/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey D Wolfe | 2636536 | 1 | 12/16/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robb William Scott | 3250429 | 1 | 11/15/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |