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 |
|---|---|---|---|---|---|---|---|---|
| Tim Papp | 2399622 | 3 | 09/21/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| James E Geosits | 1122344 | 1 | 09/20/2001 | Customer Dispute | Award / Judgment | $270,000.00 | $56,539.00 | See FINRA Report |
| John A Frost | 866394 | 1 | 09/14/2001 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Charles Richard Lewis | 703777 | 1 | 09/13/2001 | Customer Dispute | Settled | $25,000,000.00 | $0.00 | See FINRA Report |
| Michael Edward Leali | 861796 | 3 | 09/12/2001 | Customer Dispute | Denied | $132,341.00 | $0.00 | See FINRA Report |
| Kathleen Anne Hatcher | 2344145 | 2 | 09/12/2001 | Customer Dispute | Denied | $19,371.80 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 09/10/2001 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Attila T Vari | 1534120 | 2 | 09/10/2001 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 09/07/2001 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Timothy Revell Roberson | 2200567 | 4 | 09/06/2001 | Customer Dispute | Denied | $750,000.00 | $0.00 | See FINRA Report |