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 |
|---|---|---|---|---|---|---|---|---|
| John Patrick Donnelly | 2374887 | 7 | 05/24/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley B Dean | 1845729 | 2 | 05/21/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Pluta | 1232948 | 4 | 05/10/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Terence Creadon | 1634566 | 1 | 05/07/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 05/06/1999 | Customer Dispute | Denied | $31,785.00 | $0.00 | See FINRA Report |
| Neal Steffen Jenkins | 1071777 | 1 | 05/04/1999 | Customer Dispute | Settled | $82,951.00 | $0.00 | See FINRA Report |
| Amy Louise Moore | 1137141 | 1 | 05/01/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Michael Caso | 1184083 | 4 | 04/30/1999 | Customer Dispute | Denied | $632,471.00 | $0.00 | See FINRA Report |
| Christopher Gilbert Cook | 2270422 | 1 | 04/30/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jon Richard Adams | 1255111 | 4 | 04/23/1999 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |