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 |
|---|---|---|---|---|---|---|---|---|
| Ralph Chesney Evans | 1036738 | 3 | 10/20/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Terence Sullivan | 1058805 | 3 | 09/01/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lynn Rene Brandenburg | 2327008 | 2 | 12/04/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin J Sechrist | 7667800 | 1 | 11/01/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas P Riedy | 1893925 | 3 | 08/12/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Charles Senegal | 1511146 | 4 | 08/11/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Charles Senegal | 1511146 | 4 | 08/11/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rory Regan Barney | 4124398 | 1 | 06/01/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas James Cush | 2270371 | 3 | 04/23/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Henry McCabe | 2353578 | 2 | 03/23/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |