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 |
|---|---|---|---|---|---|---|---|---|
| Martin Eric Schwartz | 1185249 | 5 | 08/16/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David N Pappas | 1189108 | 3 | 08/12/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shawna M Such | 2777347 | 1 | 08/11/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Susan E Regan | 2119654 | 2 | 08/08/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Andrew Barry | 1207754 | 2 | 08/07/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Arnold Theriault | 1888502 | 4 | 08/07/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel R Ellison | 2320115 | 6 | 08/06/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Dean Knight | 2210766 | 2 | 08/06/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Genie Zeigler | 1742921 | 1 | 08/03/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mary Jo G Harper | 1846290 | 3 | 08/03/2001 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |