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 |
|---|---|---|---|---|---|---|---|---|
| Mark F Francis Hales | 1391514 | 5 | 10/14/1993 | Customer Dispute | Award / Judgment | $75,000.00 | $20,000.00 | See FINRA Report |
| Sharri A Kelly | 4593244 | 1 | 10/06/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Albert Hinken | 873876 | 2 | 10/05/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Edward Fletcher | 1286797 | 1 | 10/05/1993 | Customer Dispute | Settled | $440,000.00 | $0.00 | See FINRA Report |
| Michael Coy Sharp | 4261865 | 1 | 09/21/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gaines C Walker | 728023 | 4 | 09/17/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Larry J Crank | 7139224 | 1 | 09/07/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jesus Fernandez | 7679209 | 1 | 09/02/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Arthur Slevin | 500506 | 7 | 09/01/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Marciano | 1953770 | 1 | 08/25/1993 | Customer Dispute | Settled | $32,695.00 | $0.00 | See FINRA Report |