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 |
|---|---|---|---|---|---|---|---|---|
| Michael Arlen Morrison | 1147477 | 4 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Arlen Morrison | 1147477 | 4 | 11/30/-0001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Kerstein | 871661 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $269,000.00 | $75,000.00 | See FINRA Report |
| Rochelle Cohen | 702493 | 1 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Jon Grombala | 1209225 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $725.00 | See FINRA Report |
| Michael Terence Sullivan | 1058805 | 3 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |