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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Thomas Wells | 1189374 | 1 | 05/17/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Timothy Gattis | 2386692 | 1 | 05/17/2002 | Customer Dispute | Denied | $130,212.00 | $0.00 | See FINRA Report |
| John Phillip McAbee | 1030577 | 4 | 05/15/2002 | Customer Dispute | Denied | $87,000.00 | $0.00 | See FINRA Report |
| William Henry Brown | 713486 | 5 | 05/15/2002 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Michael Allan Colledge | 2377051 | 1 | 05/14/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David C Wright | 1872281 | 1 | 05/10/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Diane J Ridley | 1568671 | 1 | 05/09/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David J Felker | 2724745 | 6 | 05/07/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Michael Reilly | 2500206 | 2 | 05/02/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Nicholas Alan Hopley | 2517376 | 2 | 04/30/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |