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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Charles McMullen | 1042082 | 7 | 10/17/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 10/15/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Charles King | 1137602 | 1 | 10/10/1996 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |
| Timothy C Womack | 2310186 | 1 | 10/08/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Kade Reynolds | 4677778 | 1 | 10/07/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Meredith McLane | 4771231 | 1 | 10/04/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Harris Einziger | 76496 | 2 | 10/04/1996 | Customer Dispute | Settled | $1,030,000.00 | $0.00 | See FINRA Report |
| Geoffrey Albert Stubbs | 2157551 | 1 | 09/20/1996 | Customer Dispute | Settled | $21,338.90 | $0.00 | See FINRA Report |
| Ronald Norman Loftus | 1005560 | 1 | 09/03/1996 | Customer Dispute | Award / Judgment | $0.00 | $22,693.00 | See FINRA Report |
| Jeffrey Scott Hanson | 2044884 | 5 | 08/28/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |