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 |
|---|---|---|---|---|---|---|---|---|
| Kent Weston Overholt | 1767736 | 2 | 10/03/1995 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| David Gordon | 2785670 | 2 | 09/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 09/13/1995 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Ted Kelly Smith | 1675259 | 3 | 09/11/1995 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| William Norman Denton | 2998458 | 1 | 08/31/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph H Kimura | 851678 | 1 | 08/30/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Charles Constantine | 1127120 | 1 | 08/22/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Douglas Andrew Keller | 717259 | 3 | 08/21/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory William Gardner | 217720 | 5 | 08/09/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Adolph Czapla | 1547687 | 2 | 07/25/1995 | Customer Dispute | Award / Judgment | $8,899.00 | $2,350.90 | See FINRA Report |