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 |
|---|---|---|---|---|---|---|---|---|
| Eric J Melnick | 2388684 | 2 | 02/10/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Michael MacDonald | 1707154 | 1 | 01/01/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Scott Bishop | 1561174 | 2 | 07/21/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia D Kelley | 3222258 | 1 | 05/03/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Neilson | 1242428 | 1 | 04/12/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James W Fuller | 1604257 | 2 | 01/01/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Abtin Zarrabi | 1423769 | 1 | 12/21/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Dewey Tomlin | 1032498 | 3 | 05/01/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Raymond Gerard Emond | 3081874 | 1 | 02/16/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Henry Hardy | 1892041 | 2 | 03/24/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |