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 |
|---|---|---|---|---|---|---|---|---|
| Jason Tylor Lewer | 2964829 | 1 | 02/13/2003 | Customer Dispute | Award / Judgment | $21,382.40 | $10,000.00 | See FINRA Report |
| Frederick John Hoey | 247601 | 3 | 02/12/2003 | Customer Dispute | Closed-No Action | $44,000.00 | $0.00 | See FINRA Report |
| Patrick J Kergosien | 1730005 | 2 | 02/12/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Nwabuokei Meme | 1529666 | 6 | 02/11/2003 | Customer Dispute | Award / Judgment | $1,112,270.00 | $0.00 | See FINRA Report |
| Bruce Gregory Barth | 13880 | 8 | 02/11/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Charles Jolls | 3065041 | 1 | 02/11/2003 | Customer Dispute | Denied | $7,394.23 | $0.00 | See FINRA Report |
| Kirk W Thrush | 1164046 | 2 | 02/10/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Earl Walter | 1404095 | 1 | 02/05/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Stizza | 2956977 | 5 | 02/03/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gerald R Mc Cue | 2291588 | 1 | 02/03/2003 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |