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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Andrew Keller | 717259 | 3 | 08/21/2003 | Customer Dispute | Settled | $178,000.00 | $0.00 | See FINRA Report |
| Matthew J Moore | 3079768 | 1 | 08/19/2003 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 08/14/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John S Lacy | 2343925 | 1 | 08/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Reginald C Hoddinott | 1014698 | 3 | 08/14/2003 | Customer Dispute | Settled | $282,124.00 | $0.00 | See FINRA Report |
| Michael Brennan Craig | 1241158 | 4 | 08/13/2003 | Customer Dispute | Settled | $879,778.00 | $0.00 | See FINRA Report |
| Paul D Murray | 2269348 | 1 | 08/11/2003 | Customer Dispute | Settled | $226,000.00 | $0.00 | See FINRA Report |
| Richard Anthony Dileonardo | 2009596 | 5 | 08/07/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Thomas Holland | 2426004 | 1 | 08/05/2003 | Customer Dispute | Award / Judgment | $250,000.00 | $208,273.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 08/05/2003 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |