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 |
|---|---|---|---|---|---|---|---|---|
| Peter Huffman | 5613027 | 1 | 08/01/2019 | Customer Dispute | Dismissed | $4,381,690.00 | $0.00 | See FINRA Report |
| Clifford Paul Huffman | 252354 | 2 | 08/01/2019 | Customer Dispute | Dismissed | $4,381,690.00 | $0.00 | See FINRA Report |
| Daniel J Memo | 3079244 | 6 | 01/23/2014 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |
| Gregory Alan Scott | 4539293 | 4 | 12/07/2010 | Customer Dispute | Dismissed | $500,000.00 | $0.00 | See FINRA Report |
| Roger Allen Hunt | 1865861 | 1 | 12/22/2009 | Customer Dispute | Dismissed | $5,000,000.00 | $0.00 | See FINRA Report |
| Scott Franklin Bass | 2206579 | 2 | 12/22/2009 | Customer Dispute | Dismissed | $5,000,000.00 | $0.00 | See FINRA Report |
| Erick J. Ellsweig | 4501784 | 2 | 12/22/2009 | Customer Dispute | Dismissed | $5,000,000.00 | $0.00 | See FINRA Report |
| Timothy P Scudder | 2314524 | 1 | 01/16/2002 | Customer Dispute | Dismissed | $10,000,000.00 | $0.00 | See FINRA Report |