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 Eugene Tarver | 2569913 | 2 | 10/03/2002 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| James Allen Noonan | 844406 | 2 | 09/30/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hans Anders Johnson | 823712 | 3 | 09/26/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| David L Zimmerman | 842177 | 1 | 09/23/2002 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Bruce Gregory Barth | 13880 | 8 | 09/23/2002 | Customer Dispute | Denied | $37,000.00 | $0.00 | See FINRA Report |
| Mark Joseph Ogren | 1421736 | 2 | 09/23/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John G Mizzi | 1236123 | 3 | 09/23/2002 | Customer Dispute | Denied | $13,157.00 | $0.00 | See FINRA Report |
| Leo Gerald Stevenson | 2701373 | 3 | 09/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith G Azar | 2266733 | 1 | 09/23/2002 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Ian Brian MacDermott | 2240508 | 1 | 09/20/2002 | Customer Dispute | Settled | $3,800,000.00 | $0.00 | See FINRA Report |