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 Joseph Valdes | 1412990 | 14 | 06/27/2002 | Customer Dispute | Award / Judgment | $150,000.00 | $0.00 | See FINRA Report |
| Alan Scot Taxman | 3060651 | 4 | 06/04/2002 | Customer Dispute | Award / Judgment | $0.00 | $17,204.00 | See FINRA Report |
| Stephen Paul Lamb | 1287290 | 2 | 04/25/2002 | Customer Dispute | Award / Judgment | $141,563.00 | $0.00 | See FINRA Report |
| Thomas MacGregor Barnwell | 1052922 | 2 | 04/15/2002 | Customer Dispute | Award / Judgment | $260,000.00 | $132,000.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 04/15/2002 | Customer Dispute | Award / Judgment | $2,700,000.00 | $400,000.00 | See FINRA Report |
| Stephen J Hollomon | 2562020 | 3 | 03/26/2002 | Customer Dispute | Award / Judgment | $625,413.00 | $207,066.00 | See FINRA Report |
| Christopher E Hochuli | 2730364 | 1 | 02/25/2002 | Customer Dispute | Award / Judgment | $2,535,220.00 | $774,000.00 | See FINRA Report |
| Peter Karsten Hummel | 1789177 | 5 | 02/01/2002 | Customer Dispute | Award / Judgment | $0.00 | $150,000.00 | See FINRA Report |
| John R Hudspeth | 1018682 | 1 | 01/30/2002 | Customer Dispute | Award / Judgment | $76,577.00 | $81,028.00 | See FINRA Report |
| Carl Joseph Guillory | 1682255 | 2 | 01/15/2002 | Customer Dispute | Award / Judgment | $360,535.00 | $90,360.00 | See FINRA Report |