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 |
|---|---|---|---|---|---|---|---|---|
| Denny Hooten | 7278810 | 2 | 06/03/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Moore | 1114473 | 3 | 06/01/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lumina Gershfield | 7420693 | 1 | 05/24/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John M Garner | 1051582 | 7 | 04/25/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark G Johnson | 2931766 | 6 | 04/24/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Gustavo Diaz | 1715827 | 2 | 04/11/1996 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jerry Charles McMullen | 1042082 | 7 | 04/03/1996 | Customer Dispute | Settled | $302,776.00 | $0.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 04/01/1996 | Customer Dispute | Settled | $241,856.00 | $0.00 | See FINRA Report |
| William B Stevenson | 1217172 | 6 | 03/27/1996 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| William B Stevenson | 1217172 | 6 | 03/27/1996 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |