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 |
|---|---|---|---|---|---|---|---|---|
| Maziar Shams | 2212835 | 2 | 07/17/2002 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| Nathan David Marsden | 2322412 | 2 | 07/16/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Jones | 1985687 | 1 | 07/16/2002 | Customer Dispute | Denied | $85,537.00 | $0.00 | See FINRA Report |
| Nick L Wu | 2385149 | 1 | 07/15/2002 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Noreen F McKillop | 1410692 | 2 | 07/15/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Alan Hurst | 1902395 | 3 | 07/12/2002 | Customer Dispute | Settled | $16,828,000.00 | $0.00 | See FINRA Report |
| Thomas Martin Madden | 2173887 | 1 | 07/12/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Vince J Stafford | 705100 | 1 | 07/11/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 07/10/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Albert Hammer | 3246333 | 1 | 07/10/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |