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 P Orr | 2527765 | 2 | 12/13/2000 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Lionel Mortimer Ives | 1058431 | 1 | 12/12/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barry Steven Knight | 1519407 | 2 | 12/12/2000 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Holly Beall Wallace | 1528082 | 5 | 12/06/2000 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| David Paul Conrad | 2480596 | 2 | 12/06/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Stallman | 1758559 | 4 | 12/06/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ted Kelly Smith | 1675259 | 3 | 11/27/2000 | Customer Dispute | Denied | $10,785.00 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 11/27/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ted Gilbert Gray | 1240438 | 2 | 11/27/2000 | Customer Dispute | Award / Judgment | $410,000.00 | $225,000.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 11/15/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |