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 |
|---|---|---|---|---|---|---|---|---|
| Thomas MacGregor Barnwell | 1052922 | 2 | 04/15/2002 | Customer Dispute | Award / Judgment | $260,000.00 | $132,000.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 04/15/2002 | Customer Dispute | Award / Judgment | $2,700,000.00 | $400,000.00 | See FINRA Report |
| Jerry Scott Brown | 1676362 | 4 | 04/14/2002 | Customer Dispute | Settled | $24,493.20 | $0.00 | See FINRA Report |
| R T Krueger | 1200452 | 1 | 04/14/2002 | Customer Dispute | Settled | $24,493.20 | $0.00 | See FINRA Report |
| Jaime Sue Goodman | 1711531 | 2 | 04/12/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian David Katz | 2426045 | 4 | 04/11/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Kevin Robinson | 1401598 | 2 | 04/11/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert C Bianca | 1471904 | 1 | 04/11/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marvin J Carver | 859095 | 1 | 04/10/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay P Kirkpatrick | 2779000 | 1 | 04/09/2002 | Customer Dispute | Settled | $10,610.00 | $0.00 | See FINRA Report |