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 |
|---|---|---|---|---|---|---|---|---|
| Mark Eugene Mattingly | 2977990 | 2 | 03/20/2003 | Customer Dispute | Denied | $64,241.00 | $0.00 | See FINRA Report |
| John Joseph Brienza | 1652520 | 5 | 03/19/2003 | Customer Dispute | Award / Judgment | $267,045.00 | $301,636.00 | See FINRA Report |
| Diane Patricia Davis | 2590939 | 2 | 03/19/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey P Phipps | 362877 | 4 | 03/19/2003 | Customer Dispute | Settled | $69,000.00 | $0.00 | See FINRA Report |
| Patrick Michael Lively | 2421888 | 2 | 03/18/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| James Fred Ade | 2232297 | 1 | 03/18/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Soldati | 1155780 | 1 | 03/17/2003 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Matthew Alan Swinney | 3106350 | 1 | 03/17/2003 | Customer Dispute | Closed-No Action | $172,000.00 | $0.00 | See FINRA Report |
| Jena W Ponder | 1588523 | 1 | 03/13/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jacqueline A Knoll | 1457925 | 3 | 03/10/2003 | Customer Dispute | Settled | $56,191.00 | $0.00 | See FINRA Report |