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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth M Bailey | 4660734 | 1 | 10/20/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frederick Joseph Stucker | 1908143 | 7 | 08/26/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack Thomas Bowling | 4793276 | 1 | 08/12/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Mathew Freeman | 2224252 | 1 | 07/02/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Luke Bergstrom | 2887425 | 2 | 05/06/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Kettmann | 2136900 | 2 | 03/21/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Robert Burns | 2259575 | 3 | 08/08/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carlos Ordonez | 4442106 | 1 | 04/23/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Ross Zucker | 2523656 | 1 | 03/28/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clark Hoff | 4274358 | 1 | 03/26/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |