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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Kucera | 1086604 | 5 | 09/13/2002 | Customer Dispute | Settled | $25,061.00 | $0.00 | See FINRA Report |
| David Edmund Goodwin | 2434504 | 4 | 09/12/2002 | Customer Dispute | Denied | $6,503.12 | $0.00 | See FINRA Report |
| Warren Craig Lessing | 1518486 | 1 | 09/10/2002 | Customer Dispute | Denied | $16,175.00 | $0.00 | See FINRA Report |
| Michael Brennan Craig | 1241158 | 4 | 09/10/2002 | Customer Dispute | Closed-No Action | $33,000.00 | $0.00 | See FINRA Report |
| Gregory Brian Johns | 1909262 | 1 | 09/10/2002 | Customer Dispute | Denied | $97,712.10 | $0.00 | See FINRA Report |
| Kenneth James Nersesian | 1771558 | 1 | 09/09/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Don Kay Shuck | 1209160 | 3 | 09/06/2002 | Customer Dispute | Settled | $24,088.00 | $0.00 | See FINRA Report |
| William P Calvert | 2673334 | 2 | 09/05/2002 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Mark Robert Alvut | 1096254 | 1 | 09/05/2002 | Customer Dispute | Settled | $2,150,000.00 | $0.00 | See FINRA Report |
| Michael Irving Pinkston | 2566263 | 1 | 09/05/2002 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |