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 |
|---|---|---|---|---|---|---|---|---|
| Archibald Adam Walker | 1235949 | 3 | 06/13/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| H Stephen Erik Schloss | 2298793 | 2 | 06/13/2002 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Matthew Neil Liebman | 3234252 | 2 | 06/13/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Cullen Barclay Murray | 2431344 | 2 | 06/12/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christel K Dunn | 1614275 | 3 | 06/12/2002 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Gregory Paul Anderson | 2194562 | 3 | 06/10/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George S Kondracke | 2111285 | 2 | 06/10/2002 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Robert Edgar Gegg | 806764 | 2 | 06/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew P Kraus | 2180309 | 1 | 06/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ian Hugh Gordon Rogers | 1502567 | 2 | 06/05/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |