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 |
|---|---|---|---|---|---|---|---|---|
| Gregory L Harned | 1391376 | 1 | 03/13/1997 | Customer Dispute | Award / Judgment | $0.00 | $47,000.00 | See FINRA Report |
| Robert E Olson | 1295835 | 2 | 12/23/1996 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Henry Sullivan | 840962 | 5 | 12/20/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard L Mazur | 324278 | 2 | 12/18/1996 | Customer Dispute | Settled | $116,443.00 | $0.00 | See FINRA Report |
| Rial Allen Barnett | 1906698 | 2 | 12/16/1996 | Customer Dispute | Award / Judgment | $29,904.00 | $6,200.00 | See FINRA Report |
| Arnold Plonski | 1018636 | 2 | 10/21/1996 | Customer Dispute | Settled | $24,246.00 | $0.00 | See FINRA Report |
| Brian Patrick Sexton | 2543513 | 1 | 10/18/1996 | Customer Dispute | Award / Judgment | $2,064.12 | $1,032.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 10/15/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Charles King | 1137602 | 1 | 10/10/1996 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |
| Richard Harris Einziger | 76496 | 2 | 10/04/1996 | Customer Dispute | Settled | $1,030,000.00 | $0.00 | See FINRA Report |