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 |
|---|---|---|---|---|---|---|---|---|
| Richard William Post | 2474052 | 1 | 02/19/2002 | Customer Dispute | Settled | $245,730.00 | $0.00 | See FINRA Report |
| Christopher F McGregor | 2845902 | 1 | 02/19/2002 | Customer Dispute | Denied | $501,958.00 | $0.00 | See FINRA Report |
| Eric Flores Gonzales | 3118485 | 2 | 02/17/2002 | Customer Dispute | Closed-No Action | $8,217.00 | $0.00 | See FINRA Report |
| Gregory Patrick Hayes | 1399892 | 1 | 02/15/2002 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Frank Earl Johnson | 1947251 | 4 | 02/14/2002 | Customer Dispute | Settled | $96,000.00 | $0.00 | See FINRA Report |
| Andrew J Meyer | 2840988 | 3 | 02/13/2002 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 02/11/2002 | Customer Dispute | Denied | $66,000.00 | $0.00 | See FINRA Report |
| Michael Paul Sirgo | 2366455 | 1 | 02/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sun H Lee | 2834938 | 2 | 02/07/2002 | Customer Dispute | Settled | $132,500.00 | $0.00 | See FINRA Report |
| Scott David Curtis | 1235245 | 4 | 02/05/2002 | Customer Dispute | Denied | $30,500.00 | $0.00 | See FINRA Report |