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 |
|---|---|---|---|---|---|---|---|---|
| Dwight Michael Szarkowski | 7439492 | 1 | 03/26/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael P Carroll | 2793526 | 1 | 01/14/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy J Corgan | 4838640 | 1 | 11/29/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Grimm | 4596343 | 1 | 11/08/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Scott Harkey | 3129207 | 3 | 10/14/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Giovanni Antonio Bernetti | 4175274 | 2 | 09/09/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amity L Herrera | 4303277 | 1 | 08/08/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lena Cho | 4131228 | 1 | 07/08/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James R Regehr | 1373574 | 2 | 07/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Christopher Nieto | 4815337 | 1 | 06/23/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |