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 |
|---|---|---|---|---|---|---|---|---|
| Scott Alan Schropp | 2869571 | 1 | 05/04/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Andrew Anderson | 3064278 | 1 | 05/03/2010 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Declan J Mahar | 1233032 | 3 | 04/30/2010 | Customer Dispute | Settled | $3,400,000.00 | $0.00 | See FINRA Report |
| Kay F Sullivan | 4553064 | 2 | 04/27/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Forrester | 4985983 | 2 | 04/26/2010 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| R N Stikeleather | 4362866 | 1 | 04/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Ray Vinsant | 1992190 | 2 | 04/22/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cory Goligoski | 2270289 | 3 | 04/22/2010 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Matt James Damelio | 2680885 | 1 | 04/22/2010 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Klaus Miller | 857322 | 3 | 04/19/2010 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |