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 |
|---|---|---|---|---|---|---|---|---|
| Mark E Jones | 261512 | 11 | 10/01/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 10/01/1990 | Customer Dispute | Award / Judgment | $300,000.00 | $536,135.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 09/13/1990 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Scott Richard Rollick | 1275360 | 2 | 08/01/1990 | Customer Dispute | Settled | $66,000.00 | $0.00 | See FINRA Report |
| Gary Vincent Russell | 855010 | 2 | 07/01/1990 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| John Phillip McAbee | 1030577 | 4 | 06/13/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kenneth M Mirch | 708633 | 5 | 04/20/1990 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Roger Michael Matloff | 1146712 | 2 | 04/17/1990 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Lawrence P de Santis | 1271545 | 2 | 03/19/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Gaynor Walsh | 1042029 | 4 | 03/14/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |