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 |
|---|---|---|---|---|---|---|---|---|
| Simon Alexander | 730282 | 2 | 02/25/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Craig Avery | 3159040 | 1 | 02/19/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathleen Eleanor Hegenbart | 1198088 | 3 | 01/15/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kim Kasin | 1889832 | 1 | 12/28/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Sauer | 411315 | 2 | 12/27/1993 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Gaines C Walker | 728023 | 4 | 12/20/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 12/10/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Samuel Phillips | 7153751 | 3 | 12/09/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Stagg Eccker | 719469 | 3 | 12/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 11/12/1993 | Customer Dispute | Settled | $168,000.00 | $0.00 | See FINRA Report |