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 |
|---|---|---|---|---|---|---|---|---|
| Todd Adam Discala | 2288866 | 4 | 01/05/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andres J Leroux | 3125474 | 1 | 01/02/2004 | Customer Dispute | Closed-No Action | $21,767.00 | $0.00 | See FINRA Report |
| Lawrence D Kulenkamp | 1647020 | 1 | 01/02/2004 | Customer Dispute | Closed-No Action | $21,767.10 | $0.00 | See FINRA Report |
| Bryan Glenn Luther | 2543605 | 5 | 01/02/2004 | Customer Dispute | Settled | $285,451.00 | $0.00 | See FINRA Report |
| Bruce Gregory Barth | 13880 | 8 | 12/29/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Bishop Jones | 2098441 | 2 | 12/24/2003 | Customer Dispute | Settled | $269,055.00 | $0.00 | See FINRA Report |
| J Geoffrey Grant | 1235987 | 3 | 12/23/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Martin Troth Midgley | 1962747 | 2 | 12/16/2003 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| Shannon T Soileau | 2616793 | 2 | 12/15/2003 | Customer Dispute | Denied | $695,038.00 | $0.00 | See FINRA Report |
| John B King | 727321 | 1 | 12/10/2003 | Customer Dispute | Withdrawn | $225,000.00 | $0.00 | See FINRA Report |