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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Rex Ayers | 2314560 | 1 | 05/16/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 05/16/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wendy Sue Brown | 1275752 | 1 | 05/12/2000 | Customer Dispute | Denied | $74,425.00 | $0.00 | See FINRA Report |
| Salvatore W Saso | 2932505 | 1 | 05/11/2000 | Customer Dispute | Settled | $17,768.40 | $0.00 | See FINRA Report |
| Mary L Ruch | 1357181 | 2 | 05/04/2000 | Customer Dispute | Withdrawn | $31,811.00 | $0.00 | See FINRA Report |
| David Allan Barcomb | 2463546 | 2 | 05/02/2000 | Customer Dispute | Denied | $6,300.00 | $0.00 | See FINRA Report |
| Mark Richard Mathewson | 1667555 | 1 | 05/02/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William M Courtney | 1828913 | 2 | 05/01/2000 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 05/01/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert L II Hayes | 3047478 | 2 | 04/28/2000 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |