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 |
|---|---|---|---|---|---|---|---|---|
| Henry Sullivan | 840962 | 5 | 12/20/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard L Mazur | 324278 | 2 | 12/18/1996 | Customer Dispute | Settled | $116,443.00 | $0.00 | See FINRA Report |
| Rial Allen Barnett | 1906698 | 2 | 12/16/1996 | Customer Dispute | Award / Judgment | $29,904.00 | $6,200.00 | See FINRA Report |
| John Oliver | 1101272 | 1 | 12/05/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul D Moulton | 6018032 | 1 | 11/14/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Curtis L Bunch | 3250758 | 1 | 11/07/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joel Robert Burns | 2259575 | 3 | 10/25/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Stephen Mitchell | 2498032 | 1 | 10/25/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Arnold Plonski | 1018636 | 2 | 10/21/1996 | Customer Dispute | Settled | $24,246.00 | $0.00 | See FINRA Report |
| Brian Patrick Sexton | 2543513 | 1 | 10/18/1996 | Customer Dispute | Award / Judgment | $2,064.12 | $1,032.00 | See FINRA Report |