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 |
|---|---|---|---|---|---|---|---|---|
| Robert Newton Scott | 417207 | 9 | 10/21/1993 | Customer Dispute | Settled | $14,333.00 | $0.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 10/21/1993 | Customer Dispute | Settled | $5,552.00 | $0.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 10/21/1993 | Customer Dispute | Settled | $7,651.00 | $0.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 10/21/1993 | Customer Dispute | Settled | $33,920.00 | $0.00 | See FINRA Report |
| Vincent Francis Condon | 1258318 | 2 | 10/21/1993 | Customer Dispute | Settled | $6,130.00 | $0.00 | See FINRA Report |
| James Matthews Troy | 1172773 | 4 | 10/21/1993 | Customer Dispute | Settled | $9,057.00 | $0.00 | See FINRA Report |
| James R Wright | 473252 | 3 | 10/19/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Gaynor Walsh | 1042029 | 4 | 10/15/1993 | Customer Dispute | Settled | $211,944.00 | $0.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 10/14/1993 | Customer Dispute | Award / Judgment | $75,000.00 | $20,000.00 | See FINRA Report |
| John Albert Hinken | 873876 | 2 | 10/05/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |