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 |
|---|---|---|---|---|---|---|---|---|
| Lee S Woodring | 2714686 | 1 | 11/05/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Louis Soares | 1105512 | 4 | 10/31/2001 | Customer Dispute | Settled | $13,600.00 | $0.00 | See FINRA Report |
| Joseph Kasell | 264697 | 2 | 10/30/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Sean George | 2861096 | 1 | 10/29/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sheila Lynn Carlson | 3094999 | 4 | 10/29/2001 | Customer Dispute | Settled | $8,361.01 | $0.00 | See FINRA Report |
| Frederick S Fox | 212190 | 3 | 10/24/2001 | Customer Dispute | Denied | $37,000.00 | $0.00 | See FINRA Report |
| Raul Andrew Aballi | 1622075 | 2 | 10/23/2001 | Customer Dispute | Settled | $223,424.00 | $0.00 | See FINRA Report |
| Victor Patricio Galvez | 2344585 | 1 | 10/22/2001 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Scott Theodore Mazur | 2772740 | 2 | 10/22/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Laurette Maxine Wynn | 1471302 | 4 | 10/18/2001 | Customer Dispute | Settled | $447,449.00 | $0.00 | See FINRA Report |