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 |
|---|---|---|---|---|---|---|---|---|
| Donald Allen Tollin | 1185811 | 1 | 10/28/1992 | Customer Dispute | Award / Judgment | $17,000.00 | $12,500.00 | See FINRA Report |
| Matthew Kucera | 1086604 | 5 | 10/08/1992 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| George Edward Bierman | 1249482 | 1 | 09/23/1992 | Customer Dispute | Settled | $43,648.10 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 09/21/1992 | Customer Dispute | Settled | $17,500.00 | $0.00 | See FINRA Report |
| Dexter M Davis | 1705746 | 3 | 09/16/1992 | Customer Dispute | Award / Judgment | $9,050.00 | $9,050.00 | See FINRA Report |
| Terence Richard Johnson | 1174844 | 1 | 09/15/1992 | Customer Dispute | Award / Judgment | $36,735.00 | $25,000.00 | See FINRA Report |
| Michael Edward Rische | 1132157 | 2 | 08/24/1992 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Louis Victor Cappitelli | 40085 | 1 | 08/13/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Jeffrey Neal | 1420444 | 4 | 08/01/1992 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 08/01/1992 | Customer Dispute | Settled | $232,500.00 | $0.00 | See FINRA Report |