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 |
|---|---|---|---|---|---|---|---|---|
| Robert A Patterson | 2264676 | 1 | 10/22/2003 | Customer Dispute | Denied | $20,616.10 | $0.00 | See FINRA Report |
| Christina Ann Frerks | 1063312 | 1 | 10/22/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Annterese Toth | 2558291 | 4 | 10/20/2003 | Customer Dispute | Denied | $22,073.00 | $0.00 | See FINRA Report |
| Lonnie Darren Hand | 2328918 | 2 | 10/16/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Scott Izzo | 2943901 | 4 | 10/14/2003 | Customer Dispute | Settled | $23,902.00 | $0.00 | See FINRA Report |
| Daniel E Maldonado Mercado | 2561190 | 5 | 10/14/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Keough | 1916530 | 1 | 10/13/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tracy de Anne King | 1500791 | 2 | 10/10/2003 | Customer Dispute | Closed-No Action | $34,000.00 | $0.00 | See FINRA Report |
| William Gary Floyd | 3039547 | 1 | 10/07/2003 | Customer Dispute | Award / Judgment | $89,604.50 | $22,250.00 | See FINRA Report |
| Craig Matthew Scheidt | 2322110 | 1 | 10/07/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |