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 |
|---|---|---|---|---|---|---|---|---|
| Patricia Ontiveros Guest | 6047370 | 2 | 03/11/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joan A Buonocore | 4294101 | 1 | 05/05/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Derby Doscher | 1005320 | 1 | 03/18/1971 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 05/11/1969 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas M Brewer | 4057998 | 1 | 07/14/1968 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert L (Ii) Hayes | 3047478 | 2 | 01/01/1966 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Wetheral Eves | 203348 | 1 | 08/20/1963 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey L Fiszel | 2285213 | 1 | 05/07/1962 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Derek Kingshill | 1371915 | 1 | 11/30/-0001 | Customer Dispute | Settled | $23,570.00 | $0.00 | See FINRA Report |
| Gregory William Gardner | 217720 | 5 | 11/30/-0001 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |