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 |
|---|---|---|---|---|---|---|---|---|
| James Matthews Troy | 1172773 | 4 | 04/23/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 04/09/1992 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Geoffrey Alain Thomas | 1211867 | 4 | 04/01/1992 | Customer Dispute | Settled | $64,000.00 | $0.00 | See FINRA Report |
| John Richard Brown | 1249514 | 1 | 02/14/1992 | Customer Dispute | Settled | $144,000.00 | $0.00 | See FINRA Report |
| William Andrew Blick | 858393 | 4 | 02/04/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth A Gatto | 1823980 | 1 | 02/01/1992 | Customer Dispute | Award / Judgment | $9,255.00 | $11,027.90 | See FINRA Report |
| Richard P Tarantino | 442592 | 2 | 01/27/1992 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |
| Rick Gardner Handy | 857212 | 2 | 01/22/1992 | Customer Dispute | Settled | $54,900.00 | $0.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 01/07/1992 | Customer Dispute | Settled | $239,000.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 12/30/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |