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 |
|---|---|---|---|---|---|---|---|---|
| Michael G Ulrich | 3276494 | 4 | 11/19/2002 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| John R Newbanks | 1670098 | 1 | 11/18/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Laurette Maxine Wynn | 1471302 | 4 | 11/15/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erik Scott Kirschner | 2657758 | 6 | 11/13/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Richard Harold Porco | 1230349 | 2 | 11/13/2002 | Customer Dispute | Denied | $14,975.00 | $0.00 | See FINRA Report |
| Kent Vincent Pearce | 2580076 | 1 | 11/11/2002 | Customer Dispute | Award / Judgment | $260,179.00 | $50,000.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 11/11/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| David G Dellinger | 2871747 | 1 | 11/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Heron Collins | 719354 | 2 | 11/08/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Peter Karsten Hummel | 1789177 | 5 | 11/07/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |