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 |
|---|---|---|---|---|---|---|---|---|
| Roger Allen Jones | 728640 | 10 | 03/06/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Stephen Gibbons | 1211925 | 1 | 03/05/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David J Felker | 2724745 | 6 | 03/05/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald E Ridgeway | 857361 | 1 | 03/03/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Scott Bishop | 1561174 | 2 | 02/28/2003 | Customer Dispute | Denied | $13,140.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 02/28/2003 | Customer Dispute | Denied | $380,000.00 | $0.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 02/27/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Arnold Theriault | 1888502 | 4 | 02/27/2003 | Customer Dispute | Award / Judgment | $16,124.00 | $0.00 | See FINRA Report |
| Scott Michael Karlen | 2279269 | 3 | 02/24/2003 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Ralph Michael Byer | 1038411 | 7 | 02/24/2003 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |