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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Hill | 7040894 | 1 | 06/26/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Amy C Smith | 6243693 | 1 | 06/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sheridan W Tanner | 6122356 | 1 | 06/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bradley Allen Gerig | 6375572 | 4 | 06/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Lavon Hines | 1222691 | 2 | 06/15/1999 | Customer Dispute | Denied | $9,731.00 | $0.00 | See FINRA Report |
| Lynn Rene Brandenburg | 2327008 | 2 | 06/15/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Albert W Kobular | 1241192 | 3 | 06/15/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bruce Gregory Barth | 13880 | 8 | 06/14/1999 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| David Paul Conrad | 2480596 | 2 | 06/11/1999 | Customer Dispute | Denied | $12,146.00 | $0.00 | See FINRA Report |
| Lawrence Chan | 5109393 | 1 | 06/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |