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 |
|---|---|---|---|---|---|---|---|---|
| Eric J Watson | 4669691 | 1 | 11/02/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 10/28/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Leduff | 5553451 | 3 | 10/19/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Julia Battaglia | 3202249 | 1 | 09/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Lee Barnwell | 3108019 | 2 | 09/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amy L McAvoy | 7216144 | 2 | 07/27/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Haris Sayed Gailani | 6990471 | 1 | 06/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kieron Flint | 4614569 | 2 | 05/26/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark G Johnson | 2931766 | 6 | 04/24/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul D Moulton | 6018032 | 1 | 11/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |