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 Scott McGaughey | 1401961 | 1 | 11/07/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Jason McWhorter | 2281983 | 3 | 10/07/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |