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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Thomas Burgess | 856369 | 1 | 06/11/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Stephen Paul Lamb | 1287290 | 2 | 06/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Rossi | 1076673 | 1 | 06/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Myron David Stayman | 1391422 | 6 | 05/19/1993 | Customer Dispute | Settled | $49,900.00 | $0.00 | See FINRA Report |
| Jacqueline A Knoll | 1457925 | 3 | 04/23/1993 | Customer Dispute | Award / Judgment | $8,007.00 | $8,089.00 | See FINRA Report |
| Jerry Charles McMullen | 1042082 | 7 | 04/14/1993 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Michael Walter Rader | 860191 | 1 | 03/23/1993 | Customer Dispute | Award / Judgment | $500,000.00 | $75,950.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 03/22/1993 | Customer Dispute | Settled | $255,440.00 | $0.00 | See FINRA Report |
| Michael Dwyer | 847967 | 1 | 03/22/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Stallman | 1758559 | 4 | 03/22/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |