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 |
|---|---|---|---|---|---|---|---|---|
| Gary Warren Owens | 1048781 | 2 | 03/08/1991 | Customer Dispute | Award / Judgment | $12,515.80 | $1,994.22 | See FINRA Report |
| Vincent T Todd Jr | 1085899 | 1 | 03/07/1991 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| David E Burns | 1392062 | 3 | 02/01/1991 | Customer Dispute | Award / Judgment | $16,000.00 | $15,426.00 | See FINRA Report |
| Gregory Howard Singletary | 718580 | 3 | 12/27/1990 | Customer Dispute | Award / Judgment | $36,273.00 | $18,453.30 | See FINRA Report |
| Matthew Todd Yonally | 1423763 | 5 | 12/09/1990 | Customer Dispute | Settled | $24,006.10 | $0.00 | See FINRA Report |
| Kathleen Eleanor Hegenbart | 1198088 | 3 | 12/05/1990 | Customer Dispute | Award / Judgment | $462,000.00 | $333,249.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 12/01/1990 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Zachary Anargiros Frangos | 1082417 | 1 | 11/16/1990 | Customer Dispute | Settled | $34,042.00 | $0.00 | See FINRA Report |
| Michael Edward Rische | 1132157 | 2 | 10/20/1990 | Customer Dispute | Settled | $121,132.00 | $0.00 | See FINRA Report |
| Joseph M Grunfeld | 702415 | 2 | 10/17/1990 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |