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 |
|---|---|---|---|---|---|---|---|---|
| Allan Gordon Thiessen | 1107823 | 8 | 08/18/1988 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Peter Francis Wojanowski | 2015500 | 2 | 07/18/1988 | Customer Dispute | Settled | $77,768.60 | $0.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 05/05/1988 | Customer Dispute | Award / Judgment | $46,928.20 | $11,045.90 | See FINRA Report |
| Michael D Sweeney | 1068756 | 2 | 05/03/1988 | Customer Dispute | Settled | $18,750.00 | $0.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 04/28/1988 | Customer Dispute | Settled | $169,873.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Hanshaw | 1092652 | 1 | 04/04/1988 | Customer Dispute | Award / Judgment | $74,853.70 | $38,500.00 | See FINRA Report |
| Richard Merle Flack | 1244315 | 3 | 03/07/1988 | Customer Dispute | Award / Judgment | $0.00 | $19,788.00 | See FINRA Report |
| Nannette E MacBeth | 315634 | 2 | 03/02/1988 | Customer Dispute | Settled | $82,000.00 | $0.00 | See FINRA Report |
| Vincent Francis Condon | 1258318 | 2 | 02/05/1988 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 01/25/1988 | Customer Dispute | Settled | $163,000.00 | $0.00 | See FINRA Report |