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 |
|---|---|---|---|---|---|---|---|---|
| Brian King Maxson | 1770890 | 1 | 04/08/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Kenneth Porter | 1132229 | 3 | 03/31/1994 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Geoffrey Alain Thomas | 1211867 | 4 | 03/22/1994 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Alain Thomas | 1211867 | 4 | 03/11/1994 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| John Paul Rogge | 402991 | 1 | 03/01/1994 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kathleen Eleanor Hegenbart | 1198088 | 3 | 03/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kathleen Eleanor Hegenbart | 1198088 | 3 | 01/15/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Sauer | 411315 | 2 | 12/27/1993 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 12/10/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Stagg Eccker | 719469 | 3 | 12/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |