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 |
|---|---|---|---|---|---|---|---|---|
| Marc P Cassalina | 2074366 | 1 | 10/22/1997 | Customer Dispute | Award / Judgment | $95,000.00 | $14,780.00 | See FINRA Report |
| John Thomas Schoeppach | 2196616 | 2 | 10/07/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 09/24/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Justin M Griffin | 2561554 | 1 | 09/09/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howard I Katz | 1025634 | 2 | 08/26/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Craig Hornberger | 1032824 | 1 | 07/31/1997 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Richard Baer | 1667931 | 5 | 07/01/1997 | Customer Dispute | Award / Judgment | $50,980.00 | $3,545.56 | See FINRA Report |
| Lewis D Gregory | 3066894 | 1 | 05/21/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernard B Kavanagh | 2312610 | 2 | 05/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Earl Blevins | 1109393 | 2 | 05/01/1997 | Customer Dispute | Settled | $875,000.00 | $0.00 | See FINRA Report |