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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Howard Singletary | 718580 | 3 | 12/27/1990 | Customer Dispute | Award / Judgment | $36,273.00 | $18,453.30 | See FINRA Report |
| Jeremy P Fick | 2768825 | 1 | 12/19/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Todd Yonally | 1423763 | 5 | 12/09/1990 | Customer Dispute | Settled | $24,006.10 | $0.00 | See FINRA Report |
| Michael Thomas Esposito | 3262786 | 1 | 12/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathleen Eleanor Hegenbart | 1198088 | 3 | 12/05/1990 | Customer Dispute | Award / Judgment | $462,000.00 | $333,249.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 12/01/1990 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Terence J Creighton | 733174 | 3 | 11/29/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donovan Edward Davis | 723116 | 1 | 11/23/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Zachary Anargiros Frangos | 1082417 | 1 | 11/16/1990 | Customer Dispute | Settled | $34,042.00 | $0.00 | See FINRA Report |
| Michael Edward Rische | 1132157 | 2 | 10/20/1990 | Customer Dispute | Settled | $121,132.00 | $0.00 | See FINRA Report |