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 E Jones | 261512 | 11 | 12/02/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| S C Gale | 1137154 | 2 | 11/29/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David A Paolino | 2222266 | 2 | 11/26/2002 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Joanne Virginia Graham | 1048392 | 3 | 11/25/2002 | Customer Dispute | Settled | $870,000.00 | $0.00 | See FINRA Report |
| Judy Klink | 2482711 | 1 | 11/25/2002 | Customer Dispute | Denied | $10,688.20 | $0.00 | See FINRA Report |
| Jeffrey Peter Levesque | 2190648 | 4 | 11/25/2002 | Customer Dispute | Settled | $219,800.00 | $0.00 | See FINRA Report |
| Robert Chengchi Ku | 2367992 | 1 | 11/25/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Curtis Sun Dunn Lau | 1236095 | 1 | 11/21/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Albert F Schreck | 719389 | 2 | 11/20/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susana Lugones | 2091976 | 3 | 11/19/2002 | Customer Dispute | Denied | $222,662.00 | $0.00 | See FINRA Report |