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 |
|---|---|---|---|---|---|---|---|---|
| Kara Lyn Schermerhorn | 7050157 | 1 | 05/25/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Daniel Polin | 2860574 | 5 | 01/21/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael T Lagnese | 6543954 | 1 | 12/19/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia G Phillips | 5447313 | 2 | 11/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher James Thomson | 6721482 | 1 | 11/15/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carlos Anthony Vaquero | 2788738 | 2 | 10/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Cook | 4150312 | 3 | 06/22/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Arthur Sorensen | 2108565 | 2 | 06/10/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James S Ausloos | 6332274 | 1 | 05/10/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chris L Martin | 2536792 | 2 | 04/17/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |