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 |
|---|---|---|---|---|---|---|---|---|
| Marc Allan Compton | 2251843 | 1 | 07/07/2002 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Guy G Loret-de-Mola | 2332558 | 1 | 07/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Lequerica | 1514165 | 3 | 07/03/2002 | Customer Dispute | Pending | $68,758.90 | $0.00 | See FINRA Report |
| Harold W Smith | 3167818 | 1 | 07/03/2002 | Customer Dispute | Settled | $19,519.00 | $0.00 | See FINRA Report |
| James Paul Marten | 1018205 | 1 | 07/01/2002 | Customer Dispute | Closed-No Action | $503,640.00 | $0.00 | See FINRA Report |
| Jonathan Miles Headley | 1160009 | 4 | 06/27/2002 | Customer Dispute | Denied | $51,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 06/27/2002 | Customer Dispute | Award / Judgment | $150,000.00 | $0.00 | See FINRA Report |
| Gregory Grayson Burns | 2191167 | 2 | 06/26/2002 | Customer Dispute | Settled | $58,208.20 | $0.00 | See FINRA Report |
| Kirk Matthew Hunter | 2905628 | 1 | 06/26/2002 | Customer Dispute | Denied | $58,383.40 | $0.00 | See FINRA Report |
| Daniel Joseph Stizza | 2956977 | 5 | 06/26/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |