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 |
|---|---|---|---|---|---|---|---|---|
| Peter Nwabuokei Meme | 1529666 | 6 | 02/11/2003 | Customer Dispute | Award / Judgment | $1,112,270.00 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 01/07/2003 | Customer Dispute | Award / Judgment | $500,000.00 | $72,492.00 | See FINRA Report |
| Jay Richard Higgenbotham | 1463942 | 1 | 12/12/2002 | Customer Dispute | Award / Judgment | $0.00 | $10,000.00 | See FINRA Report |
| Kent Vincent Pearce | 2580076 | 1 | 11/11/2002 | Customer Dispute | Award / Judgment | $260,179.00 | $50,000.00 | See FINRA Report |
| Michael John Tortora | 2338870 | 1 | 10/25/2002 | Customer Dispute | Award / Judgment | $1,500,000.00 | $39,000.00 | See FINRA Report |
| Brigita Z Rumpeters | 2060889 | 1 | 09/17/2002 | Customer Dispute | Award / Judgment | $21,064.00 | $2,667.76 | See FINRA Report |
| Glenn Yarbrough | 1695281 | 3 | 08/28/2002 | Customer Dispute | Award / Judgment | $100,000.00 | $130,000.00 | See FINRA Report |
| Robert Jude Boschee | 3054748 | 1 | 08/21/2002 | Customer Dispute | Award / Judgment | $250,000.00 | $65,000.00 | See FINRA Report |
| Stephen Marchelo Medina | 2614773 | 6 | 07/26/2002 | Customer Dispute | Award / Judgment | $144,540.00 | $43,394.00 | See FINRA Report |
| Nathan David Marsden | 2322412 | 2 | 07/25/2002 | Customer Dispute | Award / Judgment | $50,000.00 | $5,500.00 | See FINRA Report |