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 |
|---|---|---|---|---|---|---|---|---|
| Evan Carl Scott | 1104024 | 2 | 04/13/2003 | Customer Dispute | Settled | $87,000.00 | $0.00 | See FINRA Report |
| Phillip Anthony Serra | 1921548 | 1 | 04/04/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Brendan Kelleher | 2083102 | 1 | 04/02/2003 | Customer Dispute | Closed-No Action | $275,000.00 | $0.00 | See FINRA Report |
| Richard S Dickerson | 4067378 | 1 | 04/02/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James D Edwards | 1011629 | 1 | 04/02/2003 | Customer Dispute | Closed-No Action | $217,000.00 | $0.00 | See FINRA Report |
| Eugene Christensen | 1274728 | 2 | 03/28/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas Anthony Francomano | 1248986 | 2 | 03/28/2003 | Customer Dispute | Settled | $4,387.87 | $0.00 | See FINRA Report |
| John Thomas Parker | 1059474 | 1 | 03/28/2003 | Customer Dispute | Settled | $4,387.87 | $0.00 | See FINRA Report |
| Christopher Michael Johnston | 2408681 | 2 | 03/28/2003 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Robert Francis Dalia | 1293384 | 2 | 03/26/2003 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |