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 |
|---|---|---|---|---|---|---|---|---|
| Brian G McNeil | 2631228 | 1 | 02/23/2003 | Customer Dispute | Settled | $1,985,890.00 | $0.00 | See FINRA Report |
| Michael John Northcott | 1888883 | 4 | 02/21/2003 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| Daniel John Moran | 1864762 | 5 | 02/21/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| David J Felker | 2724745 | 6 | 02/20/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 02/20/2003 | Customer Dispute | Settled | $1,358,170.00 | $0.00 | See FINRA Report |
| John M Garner | 1051582 | 7 | 02/19/2003 | Customer Dispute | Denied | $69,000.00 | $0.00 | See FINRA Report |
| David Robert Bier | 1226100 | 2 | 02/19/2003 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Gregory Howard Singletary | 718580 | 3 | 02/18/2003 | Customer Dispute | Settled | $15,566.50 | $0.00 | See FINRA Report |
| John M Garner | 1051582 | 7 | 02/13/2003 | Customer Dispute | Denied | $178,000.00 | $0.00 | See FINRA Report |
| B Gill | 2317458 | 1 | 02/13/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |