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 |
|---|---|---|---|---|---|---|---|---|
| Susana Lugones | 2091976 | 3 | 03/23/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Berger | 2322375 | 2 | 03/22/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shannon T Soileau | 2616793 | 2 | 03/22/2004 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mark A Howard | 4270909 | 4 | 03/19/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Troy David Shreckengast | 2352330 | 2 | 03/17/2004 | Customer Dispute | Closed-No Action | $138,883.00 | $0.00 | See FINRA Report |
| Eugene N Szymanski | 857114 | 1 | 03/17/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Roger Sullivan | 4127522 | 1 | 03/17/2004 | Customer Dispute | Settled | $370,192.00 | $0.00 | See FINRA Report |
| Anthony Todd Watts | 2009984 | 5 | 03/16/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Wellborn Hill | 2918218 | 2 | 03/16/2004 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Melissa P Spickler | 719397 | 5 | 03/16/2004 | Customer Dispute | Settled | $200,730.00 | $0.00 | See FINRA Report |