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 |
|---|---|---|---|---|---|---|---|---|
| James Scott Harkey | 3129207 | 3 | 04/03/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Craig Avery | 3159040 | 1 | 02/19/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kim Kasin | 1889832 | 1 | 12/28/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alan Samuel Phillips | 7153751 | 3 | 12/09/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Alan Walker | 2196808 | 1 | 11/10/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory David Gerczak | 4076507 | 2 | 10/22/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sharri A Kelly | 4593244 | 1 | 10/06/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Coy Sharp | 4261865 | 1 | 09/21/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Larry J Crank | 7139224 | 1 | 09/07/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesus Fernandez | 7679209 | 1 | 09/02/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |