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 |
|---|---|---|---|---|---|---|---|---|
| Lance Allen Lohr | 2788207 | 2 | 01/12/2001 | Customer Dispute | Closed-No Action | $600,000.00 | $0.00 | See FINRA Report |
| Frank C Rogers | 2440157 | 1 | 01/12/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce E Legates | 2303054 | 1 | 01/09/2001 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| John Michael Nowak | 707792 | 3 | 01/09/2001 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| James R Wright | 473252 | 3 | 01/05/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Craig F Zumpano | 2885932 | 1 | 01/02/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Kenneth Young | 3267579 | 1 | 01/02/2001 | Customer Dispute | Closed-No Action | $44,675.50 | $0.00 | See FINRA Report |
| Randal Tremaine Avey | 1057866 | 1 | 12/16/2000 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |
| Bernard B Kavanagh | 2312610 | 2 | 12/15/2000 | Customer Dispute | Settled | $20,889.40 | $0.00 | See FINRA Report |
| Thomas Gilbert Eastwood | 2054207 | 1 | 12/14/2000 | Customer Dispute | Denied | $7,249.73 | $0.00 | See FINRA Report |