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 |
|---|---|---|---|---|---|---|---|---|
| David Wesley Saunders | 1513626 | 1 | 12/12/1989 | Customer Dispute | Award / Judgment | $36,800.00 | $15,440.00 | See FINRA Report |
| Richard Stephen Pluta | 1232948 | 4 | 11/03/1989 | Customer Dispute | Award / Judgment | $11,167.20 | $9,403.00 | See FINRA Report |
| David Edward Miazgowicz | 1405385 | 2 | 04/01/1989 | Customer Dispute | Award / Judgment | $0.00 | $20,000.00 | See FINRA Report |
| Jeffrey Paul Danzinger | 60933 | 2 | 11/22/1988 | Customer Dispute | Award / Judgment | $0.00 | $4,188.83 | See FINRA Report |
| Don Sohn | 806118 | 5 | 05/05/1988 | Customer Dispute | Award / Judgment | $46,928.20 | $11,045.90 | See FINRA Report |
| Jeffrey Scott Hanshaw | 1092652 | 1 | 04/04/1988 | Customer Dispute | Award / Judgment | $74,853.70 | $38,500.00 | See FINRA Report |
| Richard Merle Flack | 1244315 | 3 | 03/07/1988 | Customer Dispute | Award / Judgment | $0.00 | $19,788.00 | See FINRA Report |
| John Patrick Cody | 49467 | 2 | 01/01/1988 | Customer Dispute | Award / Judgment | $474,784.00 | $50,000.00 | See FINRA Report |
| Madelyn Phyllis Verhaeghe | 714051 | 1 | 12/11/1987 | Customer Dispute | Award / Judgment | $14,438.00 | $5,780.00 | See FINRA Report |
| William Joseph Grace | 813945 | 2 | 01/01/1987 | Customer Dispute | Award / Judgment | $133,519.00 | $30,000.00 | See FINRA Report |