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 |
|---|---|---|---|---|---|---|---|---|
| Kathleen Clifford Maloney | 2255290 | 1 | 04/22/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Barry Douglas Mordis | 2317946 | 1 | 04/21/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kathy G MacGowan | 1263262 | 1 | 04/19/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Leo Gerald Stevenson | 2701373 | 3 | 04/19/2004 | Customer Dispute | Settled | $362,028.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 04/15/2004 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Richard Shrader | 809319 | 5 | 04/15/2004 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Michael Gregory Relyea | 2941317 | 2 | 04/14/2004 | Customer Dispute | Denied | $34,183.10 | $0.00 | See FINRA Report |
| Wayne Sammartino | 1981842 | 3 | 04/14/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Clinton Cate | 3055355 | 5 | 04/14/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Glenn Franklin Fuller | 215607 | 2 | 04/14/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |