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 |
|---|---|---|---|---|---|---|---|---|
| Barbara Elaine Anderson | 1467244 | 2 | 09/11/1998 | Customer Dispute | Denied | $12,304.00 | $0.00 | See FINRA Report |
| Michael John Mancuso | 1566874 | 2 | 09/10/1998 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| H William Netherton | 710952 | 4 | 09/02/1998 | Customer Dispute | Settled | $342,529.00 | $0.00 | See FINRA Report |
| Jeffery D Price | 2255050 | 3 | 09/01/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David William Baugh | 858800 | 2 | 08/27/1998 | Customer Dispute | Settled | $8,201.00 | $0.00 | See FINRA Report |
| Barbara Elaine Anderson | 1467244 | 2 | 08/24/1998 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| Jon Richard Adams | 1255111 | 4 | 08/19/1998 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Candice Hammond | 1108294 | 1 | 08/07/1998 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Nicholas S Matulich | 1407290 | 1 | 07/19/1998 | Customer Dispute | Denied | $39,000.00 | $0.00 | See FINRA Report |
| Craig L Somerby | 1499942 | 1 | 07/09/1998 | Customer Dispute | Closed-No Action | $373,000.00 | $0.00 | See FINRA Report |