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 |
|---|---|---|---|---|---|---|---|---|
| John Gaynor Walsh | 1042029 | 4 | 03/14/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Francis Nelson | 1344493 | 2 | 02/26/1990 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harvey Rudowitz | 1302642 | 3 | 02/05/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Gregory Sullivan | 1246507 | 2 | 02/01/1990 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Stephen Daniel Polin | 2860574 | 5 | 01/21/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Russell Lowell Brown | 806158 | 2 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Gregory Sullivan | 1246507 | 2 | 12/27/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alan Harry Ford | 211004 | 2 | 12/19/1989 | Customer Dispute | Settled | $933,092.00 | $0.00 | See FINRA Report |
| Michael T Lagnese | 6543954 | 1 | 12/19/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Wesley Saunders | 1513626 | 1 | 12/12/1989 | Customer Dispute | Award / Judgment | $36,800.00 | $15,440.00 | See FINRA Report |