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 |
|---|---|---|---|---|---|---|---|---|
| Chris L Martin | 2536792 | 2 | 04/17/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Edward Miazgowicz | 1405385 | 2 | 04/01/1989 | Customer Dispute | Award / Judgment | $0.00 | $20,000.00 | See FINRA Report |
| Gary Alan Gross | 2104804 | 4 | 03/20/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Stephen Chin | 1246611 | 3 | 03/03/1989 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Robert Winthrop Outtrim | 830045 | 2 | 01/31/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael J Gaddis | 5741153 | 2 | 01/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gustavo O Lopez | 7062859 | 3 | 12/30/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clinton W Factor | 2530794 | 2 | 12/15/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Danzinger | 60933 | 2 | 11/22/1988 | Customer Dispute | Award / Judgment | $0.00 | $4,188.83 | See FINRA Report |
| Kirk W Thrush | 1164046 | 2 | 11/16/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |