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 |
|---|---|---|---|---|---|---|---|---|
| Edward George Turnbull | 2781543 | 2 | 09/21/1999 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| John Edwin Jacobs | 1405497 | 2 | 09/20/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Norman Davies | 1092915 | 2 | 09/15/1999 | Customer Dispute | Settled | $25,617.00 | $0.00 | See FINRA Report |
| Glenn A Grilli | 2198833 | 1 | 09/14/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard P Crabtree | 6601677 | 6 | 09/06/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 09/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Donny Hal Rye | 2714185 | 1 | 09/03/1999 | Customer Dispute | Settled | $6,749.96 | $0.00 | See FINRA Report |
| Fernando Gandara | 2869767 | 3 | 09/01/1999 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Paul John Lukas | 1226549 | 1 | 09/01/1999 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 08/30/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |