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 |
|---|---|---|---|---|---|---|---|---|
| Scot Gordon Armstrong | 2826821 | 2 | 12/21/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Denis Callahan | 4054132 | 1 | 12/21/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gerardo A Castro | 2042384 | 2 | 12/19/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Rick Gardner Handy | 857212 | 2 | 12/18/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Reed Clemens | 1210209 | 3 | 12/17/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Thomas Phelan | 362272 | 1 | 12/14/2001 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey A Snyders | 1840498 | 1 | 12/14/2001 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Joanne Virginia Graham | 1048392 | 3 | 12/13/2001 | Customer Dispute | Denied | $296,911.00 | $0.00 | See FINRA Report |
| Steven W Kelley | 2310805 | 3 | 12/12/2001 | Customer Dispute | Closed-No Action | $430,000.00 | $0.00 | See FINRA Report |
| John Louis Guarnieri | 1787810 | 2 | 12/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |