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 Eugene Morgan | 1517009 | 5 | 03/13/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Forrester | 4985983 | 2 | 03/12/2014 | Customer Dispute | Settled | $316,666.00 | $0.00 | See FINRA Report |
| Gary Eugene Morgan | 1517009 | 5 | 03/11/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| James Wesley Lewis | 1125729 | 5 | 03/07/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy J Score | 2573534 | 1 | 02/28/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 02/25/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven J Schenck | 4035283 | 2 | 02/24/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin R Stacy | 4338587 | 1 | 02/24/2014 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Jay Matthew McHargue | 729516 | 3 | 02/21/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Craig F Umbrell | 3128124 | 1 | 02/19/2014 | Customer Dispute | Settled | $718,858.00 | $0.00 | See FINRA Report |