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 |
|---|---|---|---|---|---|---|---|---|
| David Arthur Sorensen | 2108565 | 2 | 02/07/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeremy P Fick | 2768825 | 1 | 12/19/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Esposito | 3262786 | 1 | 12/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clark Clifford Small | 2446498 | 3 | 10/19/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Thomas Liebl | 3028944 | 1 | 09/26/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa May Moore | 5159345 | 1 | 09/25/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kent Fox | 3113368 | 1 | 08/04/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Leo Connelly | 2498003 | 2 | 07/30/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Giovanni Antonio Bernetti | 4175274 | 2 | 07/12/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 05/30/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |