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 |
|---|---|---|---|---|---|---|---|---|
| Richard Baer | 1667931 | 5 | 07/01/1997 | Customer Dispute | Award / Judgment | $50,980.00 | $3,545.56 | See FINRA Report |
| Haris Sayed Gailani | 6990471 | 1 | 06/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kieron Flint | 4614569 | 2 | 05/26/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lewis D Gregory | 3066894 | 1 | 05/21/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernard B Kavanagh | 2312610 | 2 | 05/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Earl Blevins | 1109393 | 2 | 05/01/1997 | Customer Dispute | Settled | $875,000.00 | $0.00 | See FINRA Report |
| W C May | 1007891 | 2 | 04/30/1997 | Customer Dispute | Settled | $361,664.00 | $0.00 | See FINRA Report |
| Mark G Johnson | 2931766 | 6 | 04/24/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James G Bowman | 1474778 | 2 | 04/24/1997 | Customer Dispute | Settled | $133,677.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 04/14/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |