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 |
|---|---|---|---|---|---|---|---|---|
| Andrew J Meyer | 2840988 | 3 | 04/09/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hani Atassi | 2659013 | 1 | 04/08/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Andrew Barry | 1207754 | 2 | 04/04/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ian Thomas Glassford | 4615053 | 1 | 04/02/2002 | Customer Dispute | Denied | $56,000.00 | $0.00 | See FINRA Report |
| James Arthur Gingerich | 708003 | 3 | 03/29/2002 | Customer Dispute | Settled | $380,000.00 | $0.00 | See FINRA Report |
| Thomas Gross | 2276186 | 1 | 03/26/2002 | Customer Dispute | Denied | $242,714.00 | $0.00 | See FINRA Report |
| Stephen J Hollomon | 2562020 | 3 | 03/26/2002 | Customer Dispute | Award / Judgment | $625,413.00 | $207,066.00 | See FINRA Report |
| Ronald Lee Riehs | 2095247 | 1 | 03/26/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael J Bianco | 1711357 | 1 | 03/26/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Douglas Scott McPherson | 1935338 | 1 | 03/21/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |