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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Michael Hickey | 851634 | 1 | 12/10/2003 | Customer Dispute | Closed-No Action | $18,000.00 | $0.00 | See FINRA Report |
| Elizabeth Griffith Kirkpatrick | 1101665 | 1 | 12/02/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ginger Roberts Carson | 1122438 | 1 | 12/01/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Yogesh P Kamdar | 2001634 | 2 | 11/28/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert H Cunningham | 58838 | 1 | 11/28/2003 | Customer Dispute | Denied | $35,347.10 | $0.00 | See FINRA Report |
| Bruce Arnold Chappell | 44810 | 3 | 11/25/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Donald Bernoskie | 3222520 | 1 | 11/25/2003 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Richard Shrader | 809319 | 5 | 11/24/2003 | Customer Dispute | Settled | $68,000,000.00 | $0.00 | See FINRA Report |
| Lyle Jeffery Smith | 1093441 | 1 | 11/21/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian James Cox | 1296738 | 1 | 11/19/2003 | Customer Dispute | Denied | $96,500.00 | $0.00 | See FINRA Report |