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 |
|---|---|---|---|---|---|---|---|---|
| W C May | 1007891 | 2 | 04/30/1997 | Customer Dispute | Settled | $361,664.00 | $0.00 | See FINRA Report |
| James G Bowman | 1474778 | 2 | 04/24/1997 | Customer Dispute | Settled | $133,677.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 04/14/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Calvin Hemphill | 1978556 | 2 | 04/11/1997 | Customer Dispute | Settled | $918,836.00 | $0.00 | See FINRA Report |
| Bradford M Sawyer | 1910853 | 1 | 04/07/1997 | Customer Dispute | Settled | $308,000.00 | $0.00 | See FINRA Report |
| H William Netherton | 710952 | 4 | 04/01/1997 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| William B Stevenson | 1217172 | 6 | 03/25/1997 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| John Carl Varricchio | 718964 | 1 | 03/25/1997 | Customer Dispute | Award / Judgment | $9,653.00 | $150.00 | See FINRA Report |
| Howard I Katz | 1025634 | 2 | 03/24/1997 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Arnold Plonski | 1018636 | 2 | 03/19/1997 | Customer Dispute | Settled | $16,342.10 | $0.00 | See FINRA Report |