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 |
|---|---|---|---|---|---|---|---|---|
| Frederick Joseph Stucker | 1908143 | 7 | 03/28/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert James McGreen | 1705885 | 1 | 03/27/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy J Sullivan | 2437330 | 1 | 03/26/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Donald Robertson | 1659215 | 1 | 03/26/2001 | Customer Dispute | Closed-No Action | $67,279.10 | $0.00 | See FINRA Report |
| Jeffrey Peter Levesque | 2190648 | 4 | 03/25/2001 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Gareth Lansing Sawtell Crossley | 3022570 | 1 | 03/23/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Shrader | 809319 | 5 | 03/22/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Shrader | 809319 | 5 | 03/22/2001 | Customer Dispute | Settled | $19,395.00 | $0.00 | See FINRA Report |
| David J Felker | 2724745 | 6 | 03/22/2001 | Customer Dispute | Denied | $8,360.30 | $0.00 | See FINRA Report |
| David T Foster | 1914209 | 1 | 03/21/2001 | Customer Dispute | Closed-No Action | $9,000,000.00 | $0.00 | See FINRA Report |