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 Matthews Troy | 1172773 | 4 | 07/12/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kenneth Lavon Hines | 1222691 | 2 | 06/15/1999 | Customer Dispute | Denied | $9,731.00 | $0.00 | See FINRA Report |
| Lynn Rene Brandenburg | 2327008 | 2 | 06/15/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Albert W Kobular | 1241192 | 3 | 06/15/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bruce Gregory Barth | 13880 | 8 | 06/14/1999 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| David Paul Conrad | 2480596 | 2 | 06/11/1999 | Customer Dispute | Denied | $12,146.00 | $0.00 | See FINRA Report |
| Michael Trent Miller | 1802290 | 1 | 06/02/1999 | Customer Dispute | Final | $100,850.00 | $0.00 | See FINRA Report |
| Jody P Sacks | 1175493 | 1 | 06/01/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Bryan Broderick | 2084031 | 3 | 05/28/1999 | Customer Dispute | Denied | $44,275.00 | $0.00 | See FINRA Report |
| J B Degroft | 2251972 | 3 | 05/28/1999 | Customer Dispute | Denied | $44,725.00 | $0.00 | See FINRA Report |