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 |
|---|---|---|---|---|---|---|---|---|
| James Henry McCabe | 2353578 | 2 | 05/21/2001 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Alice J Windsor | 1468817 | 1 | 05/17/2001 | Customer Dispute | Closed-No Action | $175,000.00 | $0.00 | See FINRA Report |
| Walter Craig Fielder | 2714569 | 2 | 05/17/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Louis Girdler | 1364463 | 4 | 05/17/2001 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Charles Matthew Carson | 2302422 | 1 | 05/16/2001 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Scott M Blanche | 2152628 | 1 | 05/14/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ronald Nathaniel White | 1404930 | 1 | 05/14/2001 | Customer Dispute | Closed-No Action | $185,000.00 | $0.00 | See FINRA Report |
| Barry Steven Marks | 704929 | 3 | 05/10/2001 | Customer Dispute | Settled | $101,257.00 | $0.00 | See FINRA Report |
| Joel Richard Fishkin | 2878895 | 1 | 05/07/2001 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Bradley John Armell | 2491896 | 1 | 05/07/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |