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 |
|---|---|---|---|---|---|---|---|---|
| Peter Karsten Hummel | 1789177 | 5 | 02/01/2002 | Customer Dispute | Award / Judgment | $0.00 | $150,000.00 | See FINRA Report |
| Karen L Sennes | 1371279 | 1 | 02/01/2002 | Customer Dispute | Settled | $93,000.00 | $0.00 | See FINRA Report |
| Shariq Mansuri | 1854092 | 1 | 02/01/2002 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Mark Tyndorf | 2092059 | 2 | 01/31/2002 | Customer Dispute | Settled | $388,077.00 | $0.00 | See FINRA Report |
| John Clinton Cate | 3055355 | 5 | 01/31/2002 | Customer Dispute | Closed-No Action | $285,000.00 | $0.00 | See FINRA Report |
| John R Hudspeth | 1018682 | 1 | 01/30/2002 | Customer Dispute | Award / Judgment | $76,577.00 | $81,028.00 | See FINRA Report |
| Leo Gerald Stevenson | 2701373 | 3 | 01/29/2002 | Customer Dispute | Closed-No Action | $135,000.00 | $0.00 | See FINRA Report |
| William Henry Brown | 713486 | 5 | 01/24/2002 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Clark Clifford Small | 2446498 | 3 | 01/23/2002 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Radford Sells Neuhaus | 2388264 | 1 | 01/21/2002 | Customer Dispute | Denied | $9,622.35 | $0.00 | See FINRA Report |