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 |
|---|---|---|---|---|---|---|---|---|
| Sharon Lesley Miller | 2647859 | 1 | 03/16/2001 | Customer Dispute | Denied | $22,145.90 | $0.00 | See FINRA Report |
| Ian Hugh Gordon Rogers | 1502567 | 2 | 03/16/2001 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Lonnie Darren Hand | 2328918 | 2 | 03/16/2001 | Customer Dispute | Closed-No Action | $14,084.50 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 03/15/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Peter John Rosenberg | 1122939 | 2 | 03/14/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian David Katz | 2426045 | 4 | 03/13/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James P Orr | 2527765 | 2 | 03/12/2001 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Hanson | 2044884 | 5 | 03/08/2001 | Customer Dispute | Closed-No Action | $620,000.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Tompkins | 1213280 | 3 | 03/08/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Glenn Luther | 2543605 | 5 | 03/07/2001 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |