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 |
|---|---|---|---|---|---|---|---|---|
| Mark Leonard Verschuur | 2269376 | 1 | 09/05/2001 | Customer Dispute | Settled | $76,916.00 | $0.00 | See FINRA Report |
| Nicholas Andrew Denucci | 1835469 | 4 | 09/05/2001 | Customer Dispute | Settled | $310,979.00 | $0.00 | See FINRA Report |
| Steven Fredrick Warch | 1344148 | 4 | 09/05/2001 | Customer Dispute | Settled | $6,518.15 | $0.00 | See FINRA Report |
| Timothy Revell Roberson | 2200567 | 4 | 09/04/2001 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Patrick J Welde | 1905819 | 4 | 08/29/2001 | Customer Dispute | Award / Judgment | $558,000.00 | $50,000.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 08/24/2001 | Customer Dispute | Closed-No Action | $62,000.00 | $0.00 | See FINRA Report |
| James R Regehr | 1373574 | 2 | 08/23/2001 | Customer Dispute | Settled | $15,200.00 | $0.00 | See FINRA Report |
| Holly Beall Wallace | 1528082 | 5 | 08/21/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Gregory Markoff | 1296739 | 1 | 08/20/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martin Eric Schwartz | 1185249 | 5 | 08/16/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |