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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey P Phipps | 362877 | 4 | 04/24/2000 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| John Patrick McNamara | 2224817 | 2 | 04/24/2000 | Customer Dispute | Settled | $11,500.00 | $0.00 | See FINRA Report |
| Scott E Hufault | 2270297 | 1 | 04/20/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Friese | 1629186 | 5 | 04/19/2000 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |
| Christopher Charles White | 2302463 | 1 | 04/18/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew John Kowitski | 2035663 | 2 | 04/18/2000 | Customer Dispute | Settled | $87,164.50 | $0.00 | See FINRA Report |
| Vincent Minutillo | 1770529 | 1 | 04/18/2000 | Customer Dispute | Settled | $87,164.50 | $0.00 | See FINRA Report |
| James Lincoln Ross | 1376402 | 2 | 04/17/2000 | Customer Dispute | Denied | $162,000.00 | $0.00 | See FINRA Report |
| Christopher S Downs | 2327623 | 2 | 04/17/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Richard Louis Soares | 1105512 | 4 | 04/17/2000 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |