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 |
|---|---|---|---|---|---|---|---|---|
| Daniel R Ellison | 2320115 | 6 | 10/19/2000 | Customer Dispute | Closed-No Action | $401,000.00 | $0.00 | See FINRA Report |
| Elizabeth Pfenninger Dahme | 724394 | 4 | 10/18/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Lilburn Coffee | 1158713 | 3 | 10/17/2000 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Kevin Thomas Roth | 1398183 | 1 | 10/13/2000 | Customer Dispute | Settled | $104,000.00 | $0.00 | See FINRA Report |
| Robert Michael Mirsky | 2820693 | 1 | 10/05/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fredrick Jay Shapiro | 2992579 | 1 | 10/04/2000 | Customer Dispute | Settled | $12,500.00 | $0.00 | See FINRA Report |
| John Kevin Wilson | 1248938 | 2 | 10/03/2000 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Tommy McBride | 2216678 | 1 | 10/03/2000 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 10/02/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Linda G Davila | 711842 | 3 | 10/02/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |