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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Anthony Vaquero | 2788738 | 2 | 10/06/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Edgar Voysey | 2209563 | 3 | 10/06/2003 | Customer Dispute | Closed-No Action | $8,764.00 | $0.00 | See FINRA Report |
| Edward C Conklin | 1301740 | 1 | 10/06/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Karlen | 2279269 | 3 | 10/03/2003 | Customer Dispute | Denied | $15,869.00 | $0.00 | See FINRA Report |
| Raymond A Miranda | 1684285 | 1 | 10/02/2003 | Customer Dispute | Award / Judgment | $150,000.00 | $148,000.00 | See FINRA Report |
| Frederick John Hoey | 247601 | 3 | 10/02/2003 | Customer Dispute | Settled | $97,772.00 | $0.00 | See FINRA Report |
| Scott Ivars Kauls | 1752630 | 1 | 10/01/2003 | Customer Dispute | Settled | $615,088.00 | $0.00 | See FINRA Report |
| Iain Andrew Sharpe | 3210728 | 3 | 09/30/2003 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Susan Lyle | 1980360 | 2 | 09/30/2003 | Customer Dispute | Pending | $111,432.00 | $0.00 | See FINRA Report |
| Marshall Ira Dumont | 1127022 | 1 | 09/22/2003 | Customer Dispute | Denied | $817,332.00 | $0.00 | See FINRA Report |