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 |
|---|---|---|---|---|---|---|---|---|
| Diedrich Doughty Oglesbee | 2941351 | 1 | 09/20/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Nicolas B Castaneda | 2931902 | 6 | 09/19/2002 | Customer Dispute | Closed-No Action | $24,288.00 | $0.00 | See FINRA Report |
| Kelly E Conger | 2460431 | 1 | 09/18/2002 | Customer Dispute | Denied | $172,334.00 | $0.00 | See FINRA Report |
| Teri D Engle | 2487072 | 2 | 09/18/2002 | Customer Dispute | Denied | $172,334.00 | $0.00 | See FINRA Report |
| William Albert Cecil | 838550 | 2 | 09/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brigita Z Rumpeters | 2060889 | 1 | 09/17/2002 | Customer Dispute | Award / Judgment | $21,064.00 | $2,667.76 | See FINRA Report |
| Frank A Hayn | 1018644 | 1 | 09/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Denise K Martin | 2154827 | 1 | 09/17/2002 | Customer Dispute | Closed-No Action | $31,126.80 | $0.00 | See FINRA Report |
| Timothy Nathaniel McMullen | 2627239 | 2 | 09/16/2002 | Customer Dispute | Settled | $50,866.60 | $0.00 | See FINRA Report |
| Raymond M Stacy | 2879982 | 2 | 09/16/2002 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |