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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Stuart Cecil | 1236781 | 1 | 07/25/2003 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Payne | 1114780 | 3 | 07/24/2003 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| David Edmund Goodwin | 2434504 | 4 | 07/21/2003 | Customer Dispute | Denied | $12,700.00 | $0.00 | See FINRA Report |
| Deepak Ganju | 3037493 | 1 | 07/21/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David J Felker | 2724745 | 6 | 07/18/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Henry J Medina | 2073975 | 3 | 07/17/2003 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Stephen Marchelo Medina | 2614773 | 6 | 07/17/2003 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Thomas Ray Schloeder | 2279241 | 1 | 07/15/2003 | Customer Dispute | Denied | $64,000.00 | $0.00 | See FINRA Report |
| James G Bowman | 1474778 | 2 | 07/15/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scot Gordon Armstrong | 2826821 | 2 | 07/14/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |