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 |
|---|---|---|---|---|---|---|---|---|
| Gary Alan Gross | 2104804 | 4 | 03/20/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael J Gaddis | 5741153 | 2 | 01/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gustavo O Lopez | 7062859 | 3 | 12/30/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clinton W Factor | 2530794 | 2 | 12/15/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Mark Luciano | 2373685 | 1 | 08/30/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew C Wages | 4012884 | 1 | 08/18/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Robert Gabriel | 3125616 | 1 | 03/05/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Charles Hempfling | 2608584 | 1 | 11/27/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bobbye J Whelan | 1963904 | 3 | 11/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bobbye J Whelan | 1963904 | 3 | 11/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |