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 |
|---|---|---|---|---|---|---|---|---|
| Roger Allen Jones | 728640 | 10 | 11/12/1993 | Customer Dispute | Settled | $168,000.00 | $0.00 | See FINRA Report |
| Carol J Bunch | 862746 | 1 | 11/08/1993 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Michael John Mancuso | 1566874 | 2 | 10/29/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Francis Dalia | 1293384 | 2 | 10/21/1993 | Customer Dispute | Settled | $16,855.00 | $0.00 | See FINRA Report |
| Mark Alan Battaglia | 1618389 | 3 | 10/21/1993 | Customer Dispute | Settled | $12,688.00 | $0.00 | See FINRA Report |
| John William Boukamp | 1444222 | 8 | 10/21/1993 | Customer Dispute | Settled | $16,300.00 | $0.00 | See FINRA Report |
| Alberta Lester McEuen | 1042086 | 1 | 10/21/1993 | Customer Dispute | Settled | $7,166.00 | $0.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 10/21/1993 | Customer Dispute | Settled | $16,676.00 | $0.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 10/21/1993 | Customer Dispute | Settled | $6,542.00 | $0.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 10/21/1993 | Customer Dispute | Settled | $5,456.00 | $0.00 | See FINRA Report |