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 |
|---|---|---|---|---|---|---|---|---|
| Scot Thomas Benefiel | 1968666 | 2 | 06/02/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry B Fuerst | 3233526 | 1 | 05/30/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Dwayne Allan Ross | 1852884 | 4 | 05/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Duffy | 2491880 | 1 | 05/29/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gregory M McGauley | 2529257 | 1 | 05/29/2003 | Customer Dispute | Closed-No Action | $56,141.00 | $0.00 | See FINRA Report |
| Mark V Alberti | 2704834 | 2 | 05/28/2003 | Customer Dispute | Denied | $5,972.00 | $0.00 | See FINRA Report |
| William Marcus Beck | 724666 | 1 | 05/27/2003 | Customer Dispute | Settled | $3,147,590.00 | $0.00 | See FINRA Report |
| A K Roberson | 2298900 | 3 | 05/27/2003 | Customer Dispute | Settled | $81,021.00 | $0.00 | See FINRA Report |
| Danielle Mariette Prunier | 2551656 | 2 | 05/27/2003 | Customer Dispute | Closed-No Action | $119,000.00 | $0.00 | See FINRA Report |
| John K Heisel | 1080321 | 2 | 05/27/2003 | Customer Dispute | Closed-No Action | $119,000.00 | $0.00 | See FINRA Report |