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 |
|---|---|---|---|---|---|---|---|---|
| Peter Anthony Ambrose | 1624518 | 2 | 03/15/1999 | Customer Dispute | Settled | $308,666.00 | $0.00 | See FINRA Report |
| Joseph Edward Torres | 2255779 | 3 | 03/15/1999 | Customer Dispute | Settled | $308,666.00 | $0.00 | See FINRA Report |
| David Stewart Harkins | 2291516 | 2 | 03/12/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Karsten Hummel | 1789177 | 5 | 03/10/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ralph Michael Byer | 1038411 | 7 | 03/09/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Michael B Cunningham | 2246577 | 3 | 03/08/1999 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Kevin Robert Barnett | 2295326 | 1 | 03/08/1999 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Christopher W Smiles | 1016621 | 1 | 03/02/1999 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Mark Stephen Joyce | 1317613 | 1 | 02/26/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harry Ken Lackner | 2115244 | 2 | 02/22/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |