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 |
|---|---|---|---|---|---|---|---|---|
| Jeffery D Price | 2255050 | 3 | 02/03/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Scott Simmons | 1617485 | 2 | 01/06/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael George Ryan | 1767041 | 3 | 12/11/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher B Bean | 2736963 | 1 | 12/05/1997 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| F Ronald Dennis | 2643414 | 1 | 11/21/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Janene Evelyn Pirbhai | 2318588 | 1 | 11/19/1997 | Customer Dispute | Denied | $599,400.00 | $0.00 | See FINRA Report |
| Chris Taylor Bettencourt | 2398948 | 1 | 11/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Morris I Betesh | 2119633 | 1 | 09/03/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Howard I Katz | 1025634 | 2 | 08/26/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David A Brockway | 2404135 | 1 | 08/19/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |