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 |
|---|---|---|---|---|---|---|---|---|
| Clark Clifford Small | 2446498 | 3 | 01/22/2004 | Customer Dispute | Settled | $13,300.00 | $0.00 | See FINRA Report |
| Lisa M Seigel | 2497542 | 1 | 01/22/2004 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Jason Myerson Beckert | 2839206 | 3 | 01/20/2004 | Customer Dispute | Settled | $168,000.00 | $0.00 | See FINRA Report |
| Bradley Ray Rupp | 1343768 | 1 | 01/20/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jennifer M Carroll | 2454788 | 1 | 01/16/2004 | Customer Dispute | Settled | $8,903.75 | $0.00 | See FINRA Report |
| Michael Gerald Livernois | 2298910 | 1 | 01/16/2004 | Customer Dispute | Award / Judgment | $250,000.00 | $287,612.00 | See FINRA Report |
| Christopher John Coffing | 1244309 | 1 | 01/09/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Francis Fessler | 1889126 | 2 | 01/09/2004 | Customer Dispute | Settled | $349,822.00 | $0.00 | See FINRA Report |
| Charles M Mok | 717940 | 1 | 01/06/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susana Lugones | 2091976 | 3 | 01/06/2004 | Customer Dispute | Settled | $14,800.00 | $0.00 | See FINRA Report |