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 |
|---|---|---|---|---|---|---|---|---|
| Edward Gerald Schwarz | 843622 | 2 | 12/02/1982 | Customer Dispute | Award / Judgment | $65,000.00 | $225,150.00 | See FINRA Report |
| Tamara Sue Wiley | 7486433 | 2 | 12/01/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas James Cush | 2270371 | 3 | 10/31/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric J Melnick | 2388684 | 2 | 10/12/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| S C Gale | 1137154 | 2 | 10/06/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Susan Ann Hamilton | 2445572 | 1 | 08/23/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randall Reinhold Smith | 1661660 | 1 | 07/02/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kathryn G Drew | 2417906 | 1 | 03/02/1982 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Bott | 810528 | 1 | 11/03/1981 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| David Marcus | 5613071 | 1 | 10/31/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |