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 |
|---|---|---|---|---|---|---|---|---|
| Dexter M Davis | 1705746 | 3 | 05/01/2001 | Customer Dispute | Settled | $83,000.00 | $0.00 | See FINRA Report |
| James Joseph Ertmann | 2747524 | 5 | 05/01/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Edward Kowalski | 2232525 | 5 | 04/30/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Kahn | 2072427 | 7 | 04/25/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Thomas Schoeppach | 2196616 | 2 | 04/25/2001 | Customer Dispute | Denied | $1,498,000.00 | $0.00 | See FINRA Report |
| Christel K Dunn | 1614275 | 3 | 04/24/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Charles Hines | 2341837 | 2 | 04/24/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Tompkins | 1213280 | 3 | 04/24/2001 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Sun H Lee | 2834938 | 2 | 04/24/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joel A Gershon | 3097341 | 1 | 04/24/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |