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 |
|---|---|---|---|---|---|---|---|---|
| James Henry Hardy | 1892041 | 2 | 03/24/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Charles Kranz | 1568620 | 1 | 01/24/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Henry Hardy | 1892041 | 2 | 12/15/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Ralph Benington | 1763324 | 1 | 09/20/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Principe | 367989 | 1 | 05/29/1974 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jon Mark Vilmar | 1112624 | 3 | 10/01/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 08/11/1973 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Allen Seitz | 1026191 | 2 | 06/19/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Mark Vilmar | 1112624 | 3 | 11/01/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randy Robert Rhodes | 1378757 | 1 | 09/07/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |