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 D Shulman | 1443813 | 1 | 01/21/1993 | Customer Dispute | Award / Judgment | $10,000.00 | $4,481.92 | See FINRA Report |
| Carla J Lang | 1007124 | 2 | 12/30/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Nicole Germ | 6565307 | 5 | 12/12/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cheryl Nicole Germ | 6565307 | 5 | 12/10/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stacey Alan Wyandt | 6053344 | 1 | 12/06/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jacqueline A Knoll | 1457925 | 3 | 11/24/1992 | Customer Dispute | Award / Judgment | $34,684.00 | $3,000.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 11/10/1992 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| E T Holder | 1374010 | 6 | 11/09/1992 | Customer Dispute | Settled | $94,883.90 | $0.00 | See FINRA Report |
| Gaines C Walker | 728023 | 4 | 11/03/1992 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Donald Allen Tollin | 1185811 | 1 | 10/28/1992 | Customer Dispute | Award / Judgment | $17,000.00 | $12,500.00 | See FINRA Report |