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 |
|---|---|---|---|---|---|---|---|---|
| Robert Leo Connelly | 2498003 | 2 | 07/30/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Giovanni Antonio Bernetti | 4175274 | 2 | 07/12/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Vincent Russell | 855010 | 2 | 07/01/1990 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| John Phillip McAbee | 1030577 | 4 | 06/13/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 05/30/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kara Lyn Schermerhorn | 7050157 | 1 | 05/25/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth M Mirch | 708633 | 5 | 04/20/1990 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Roger Michael Matloff | 1146712 | 2 | 04/17/1990 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Harvey Rudowitz | 1302642 | 3 | 04/09/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lawrence P de Santis | 1271545 | 2 | 03/19/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |