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 |
|---|---|---|---|---|---|---|---|---|
| Jeri A Albrecht | 1985697 | 1 | 11/18/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Freeman Nevell | 2367210 | 4 | 11/03/1998 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Steven Fredrick Warch | 1344148 | 4 | 11/03/1998 | Customer Dispute | Settled | $13,073.00 | $0.00 | See FINRA Report |
| Mary R Lynes | 1085096 | 1 | 10/29/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Reed Clemens | 1210209 | 3 | 10/07/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marc Portor Davis | 1685508 | 1 | 10/05/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Allen Livingston | 1035655 | 1 | 09/23/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jon Richard Adams | 1255111 | 4 | 09/18/1998 | Customer Dispute | Settled | $36,492.10 | $0.00 | See FINRA Report |
| Ralph Chesney Evans | 1036738 | 3 | 09/16/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Callender | 1249526 | 1 | 09/15/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |