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 |
|---|---|---|---|---|---|---|---|---|
| George W Seals | 4288286 | 1 | 08/17/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Craig Ribich | 4472460 | 4 | 08/16/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas Andrew Denucci | 1835469 | 4 | 06/03/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jay N Anderson | 2821820 | 2 | 02/09/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Christopher Garcia | 1934908 | 1 | 12/17/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George J Swindasz | 4706972 | 2 | 11/21/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carla J Lang | 1007124 | 2 | 04/25/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| George J Swindasz | 4706972 | 2 | 09/23/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Allan James Sanford | 4148364 | 1 | 03/20/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy D Leonard | 4399421 | 1 | 02/15/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |