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 |
|---|---|---|---|---|---|---|---|---|
| James F O'Sullivan | 865729 | 1 | 07/17/1995 | Customer Dispute | Settled | $85,654.80 | $0.00 | See FINRA Report |
| George Bradford | 6452487 | 1 | 06/12/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Brian Shoaff | 5424811 | 2 | 06/08/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cynthia A Kelley | 4475471 | 1 | 05/29/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Louis Ganser | 1319734 | 2 | 05/15/1995 | Customer Dispute | Settled | $118,000.00 | $0.00 | See FINRA Report |
| Anthony Thomas Gonzalez | 224936 | 4 | 04/25/1995 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kirk Douglas Gipson | 4680340 | 1 | 04/07/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Salvatore Cosentini | 2745347 | 1 | 04/07/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chad Alan Petersen | 7110390 | 2 | 04/06/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dwight Michael Szarkowski | 7439492 | 1 | 03/26/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |