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 |
|---|---|---|---|---|---|---|---|---|
| Francis Joseph Roche | 848416 | 2 | 06/09/2000 | Customer Dispute | Settled | $49,600.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 06/08/2000 | Customer Dispute | Settled | $18,150.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 06/06/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Theodore Mazur | 2772740 | 2 | 06/02/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenneth Herbert Albers | 1179032 | 3 | 06/02/2000 | Customer Dispute | Settled | $71,135.20 | $0.00 | See FINRA Report |
| Hilary Thomas Baumstarck | 2878934 | 1 | 05/30/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brad Philip Green | 1450888 | 3 | 05/25/2000 | Customer Dispute | Settled | $433,000.00 | $0.00 | See FINRA Report |
| Robert David Bolber | 1433513 | 2 | 05/25/2000 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Kevin W Chau | 2414571 | 1 | 05/23/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Felicia Hillary Sandy Delgado | 1200823 | 1 | 05/19/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |