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 |
|---|---|---|---|---|---|---|---|---|
| Kathryn L Wallace | 2197639 | 1 | 12/06/2002 | Customer Dispute | Settled | $9,109.44 | $0.00 | See FINRA Report |
| Peter van Kline | 716195 | 2 | 12/06/2002 | Customer Dispute | Settled | $390,079.00 | $0.00 | See FINRA Report |
| Jason Paul Demers | 2365310 | 2 | 12/05/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christel K Dunn | 1614275 | 3 | 12/05/2002 | Customer Dispute | Settled | $236,809.00 | $0.00 | See FINRA Report |
| Teri D Engle | 2487072 | 2 | 12/05/2002 | Customer Dispute | Closed-No Action | $235,000.00 | $0.00 | See FINRA Report |
| Jeffrey Duane Hart | 1302091 | 1 | 12/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan Miles Headley | 1160009 | 4 | 12/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas E Moynihan | 2377224 | 2 | 12/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jesse Perez Carbajal | 2095529 | 1 | 12/03/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Leonard Peter Ligotti | 1953206 | 2 | 12/02/2002 | Customer Dispute | Denied | $6,750.00 | $0.00 | See FINRA Report |