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 |
|---|---|---|---|---|---|---|---|---|
| Paul Alfred Gilbert | 220424 | 2 | 07/18/1994 | Customer Dispute | Settled | $838,000.00 | $0.00 | See FINRA Report |
| Lena Cho | 4131228 | 1 | 07/08/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary George Peirce | 2098729 | 3 | 07/07/1994 | Customer Dispute | Award / Judgment | $8,950.00 | $7,000.00 | See FINRA Report |
| Trent Walker Longnecker | 2344606 | 2 | 07/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James R Regehr | 1373574 | 2 | 07/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Christopher Nieto | 4815337 | 1 | 06/23/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Kelleher | 1059804 | 5 | 06/07/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey David Piepgras | 1769609 | 1 | 05/26/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Alexander Scott Steiger | 1899972 | 3 | 05/26/1994 | Customer Dispute | Settled | $23,000,000.00 | $0.00 | See FINRA Report |
| Brian Dean Ludwick | 1052091 | 4 | 05/23/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |