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 |
|---|---|---|---|---|---|---|---|---|
| Matthew George Hurray | 2866869 | 1 | 12/04/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eyal Yaffe | 1937169 | 3 | 12/04/2001 | Customer Dispute | Award / Judgment | $0.00 | $329,688.00 | See FINRA Report |
| Jason S Cherny | 1769982 | 2 | 12/04/2001 | Customer Dispute | Denied | $178,000.00 | $0.00 | See FINRA Report |
| John Clinton Cate | 3055355 | 5 | 12/04/2001 | Customer Dispute | Settled | $365,000.00 | $0.00 | See FINRA Report |
| William Henry Brown | 713486 | 5 | 12/04/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Martin Eric Schwartz | 1185249 | 5 | 11/30/2001 | Customer Dispute | Settled | $83,000.00 | $0.00 | See FINRA Report |
| Martin Eric Schwartz | 1185249 | 5 | 11/28/2001 | Customer Dispute | Settled | $16,480.00 | $0.00 | See FINRA Report |
| Thomas James Cush | 2270371 | 3 | 11/28/2001 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Emanuel Christian Blessey | 2590911 | 2 | 11/28/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Archibald Adam Walker | 1235949 | 3 | 11/27/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |