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 |
|---|---|---|---|---|---|---|---|---|
| Alan Scot Taxman | 3060651 | 4 | 06/04/2002 | Customer Dispute | Award / Judgment | $0.00 | $17,204.00 | See FINRA Report |
| Alan Scot Taxman | 3060651 | 4 | 06/04/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Anthony Maggs | 2326339 | 1 | 05/31/2002 | Customer Dispute | Denied | $5,413.00 | $0.00 | See FINRA Report |
| Raymond John Abbate | 700067 | 4 | 05/31/2002 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |
| Richard Harold Porco | 1230349 | 2 | 05/29/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Amy Fang | 2918189 | 1 | 05/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cary Nye Wieting | 1125094 | 1 | 05/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carolyn Atwill Sullivan | 2400540 | 2 | 05/22/2002 | Customer Dispute | Settled | $183,754.00 | $0.00 | See FINRA Report |
| Linus G Cooke | 1090741 | 1 | 05/21/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronya Ann Corey | 2377343 | 1 | 05/20/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |