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 |
|---|---|---|---|---|---|---|---|---|
| Scott Parker Reynolds | 1575161 | 1 | 06/26/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patrick J Welde | 1905819 | 4 | 06/24/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Raj Sharma | 1764403 | 2 | 06/24/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Brian Joseph Hetherington | 1398331 | 1 | 06/24/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel Thomas Summerlin | 2289767 | 2 | 06/19/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Gregory Relyea | 2941317 | 2 | 06/18/2002 | Customer Dispute | Denied | $54,000.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 06/18/2002 | Customer Dispute | Denied | $94,511.00 | $0.00 | See FINRA Report |
| Philip Wayne Taxman | 2146053 | 1 | 06/18/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Camelia Youssef Barsoum | 4047875 | 1 | 06/14/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gregory William Gardner | 217720 | 5 | 06/14/2002 | Customer Dispute | Denied | $427,875.00 | $0.00 | See FINRA Report |