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 |
|---|---|---|---|---|---|---|---|---|
| Deven Keith Mays | 7151006 | 1 | 03/30/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Derek Lamont Stewart | 3171966 | 6 | 03/04/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ann Michelle McClain | 2698124 | 1 | 02/07/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael M Moore | 4206373 | 1 | 12/10/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Jackson Brooks | 2611354 | 1 | 10/01/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Fisher Ottaway | 2183260 | 1 | 09/23/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Pfenninger Dahme | 724394 | 4 | 08/30/1983 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Karl Weiss | 4081851 | 1 | 06/12/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glenn E Hain | 2645863 | 4 | 03/10/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Albert F Schreck | 719389 | 2 | 12/07/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |