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 |
|---|---|---|---|---|---|---|---|---|
| Michael Charles Hempfling | 2608584 | 1 | 11/27/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bobbye J Whelan | 1963904 | 3 | 11/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bobbye J Whelan | 1963904 | 3 | 11/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bobbye J Whelan | 1963904 | 3 | 11/21/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael J Gaddis | 5741153 | 2 | 11/18/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott David Lile | 2390039 | 2 | 10/22/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Joseph Brienza | 1652520 | 5 | 10/19/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter van Kline | 716195 | 2 | 10/07/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Thomas Sharkey | 1953235 | 1 | 09/30/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas P Riedy | 1893925 | 3 | 08/17/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |