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 |
|---|---|---|---|---|---|---|---|---|
| Robert Jay McKiernan | 1222669 | 5 | 01/03/2002 | Customer Dispute | Award / Judgment | $750,000.00 | $150,000.00 | See FINRA Report |
| Eyal Yaffe | 1937169 | 3 | 12/04/2001 | Customer Dispute | Award / Judgment | $0.00 | $329,688.00 | See FINRA Report |
| Joseph Robert Weston | 2951651 | 1 | 11/15/2001 | Customer Dispute | Award / Judgment | $50,000.00 | $1,500.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 11/08/2001 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See FINRA Report |
| James E Geosits | 1122344 | 1 | 09/20/2001 | Customer Dispute | Award / Judgment | $270,000.00 | $56,539.00 | See FINRA Report |
| Patrick J Welde | 1905819 | 4 | 08/29/2001 | Customer Dispute | Award / Judgment | $558,000.00 | $50,000.00 | See FINRA Report |
| Stuart Camden Hall | 2577241 | 1 | 02/12/2001 | Customer Dispute | Award / Judgment | $246,166.00 | $30,611.00 | See FINRA Report |
| Ted Gilbert Gray | 1240438 | 2 | 11/27/2000 | Customer Dispute | Award / Judgment | $410,000.00 | $225,000.00 | See FINRA Report |
| Nicholas Andrew Denucci | 1835469 | 4 | 08/09/2000 | Customer Dispute | Award / Judgment | $140,000.00 | $72,000.00 | See FINRA Report |
| Richard Alan Mills | 1301076 | 2 | 03/17/2000 | Customer Dispute | Award / Judgment | $168,845.00 | $163,345.00 | See FINRA Report |