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 |
|---|---|---|---|---|---|---|---|---|
| Robert Austin Hess | 4346798 | 1 | 04/24/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Scott Whitman | 4756009 | 1 | 11/21/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Paul Bridgford | 2034108 | 1 | 11/09/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric MacDonnell | 2129553 | 1 | 10/14/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marc C Vazquez | 2122160 | 1 | 06/01/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James L Fuller | 3198061 | 1 | 04/09/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Wallace Carrington | 1645215 | 1 | 07/25/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Diane Renee Giza | 2329964 | 1 | 05/24/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary E Merriman | 2479393 | 1 | 12/22/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Anthony Storer | 4465890 | 1 | 12/03/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |