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 |
|---|---|---|---|---|---|---|---|---|
| Michael Bruce Passeroff | 3176333 | 1 | 06/16/2003 | Customer Dispute | Settled | $47,388.00 | $0.00 | See FINRA Report |
| Michael Joseph Kahn | 2072427 | 7 | 06/16/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James M Sleight | 2014684 | 1 | 06/10/2003 | Customer Dispute | Pending | $960,000.00 | $0.00 | See FINRA Report |
| Kevin Scott Calderon | 2542480 | 2 | 06/06/2003 | Customer Dispute | Award / Judgment | $4,000,000.00 | $348,904.00 | See FINRA Report |
| Reginald C Hoddinott | 1014698 | 3 | 06/06/2003 | Customer Dispute | Denied | $80,000.00 | $0.00 | See FINRA Report |
| Jonathan Miles Headley | 1160009 | 4 | 06/05/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Myerson Beckert | 2839206 | 3 | 06/05/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Lynn Cagle | 1364768 | 2 | 06/03/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| J Kevin Wertz | 849532 | 1 | 06/02/2003 | Customer Dispute | Settled | $143,000.00 | $0.00 | See FINRA Report |
| Edward J Nolan | 726594 | 2 | 06/02/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |