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 |
|---|---|---|---|---|---|---|---|---|
| Karl Alois Kniely | 1126108 | 1 | 03/21/1996 | Customer Dispute | Settled | $29,735.30 | $0.00 | See FINRA Report |
| Chassidy Taylor Wendell | 3107897 | 1 | 03/13/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Henry Sullivan | 840962 | 5 | 03/12/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Godfrey Herpers | 3248105 | 1 | 02/17/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig Alexander Scott Steiger | 1899972 | 3 | 01/29/1996 | Customer Dispute | Settled | $416,629.00 | $0.00 | See FINRA Report |
| Christina Liza | 6643709 | 3 | 01/28/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christina Liza | 6643709 | 3 | 01/25/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jack A Hanover | 810380 | 1 | 01/16/1996 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Robert Arthur Desfosses | 1283817 | 1 | 01/05/1996 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Scott David Lile | 2390039 | 2 | 01/04/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |