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 |
|---|---|---|---|---|---|---|---|---|
| Diane Renee Giza | 2329964 | 1 | 05/24/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Andrew Blick | 858393 | 4 | 05/01/1985 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alan Glenn Kyle | 866427 | 1 | 04/30/1985 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Kevin Walter Kolmer | 832957 | 1 | 03/01/1985 | Customer Dispute | Settled | $57,713.10 | $0.00 | See FINRA Report |
| Gary E Merriman | 2479393 | 1 | 12/22/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Anthony Storer | 4465890 | 1 | 12/03/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Margaret Patricia Hart | 1087976 | 1 | 11/25/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nancy T Sawyer | 2598285 | 1 | 11/23/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tamara Sue Wiley | 7486433 | 2 | 07/22/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Edward Barnes | 2178225 | 2 | 06/23/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |