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 |
|---|---|---|---|---|---|---|---|---|
| Kenrick Anthony Whyte | 2987579 | 2 | 01/16/2002 | Customer Dispute | Pending | $194,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph McDonald | 2574653 | 2 | 12/27/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Lee S Woodring | 2714686 | 1 | 11/05/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| James Joseph Ertmann | 2747524 | 5 | 02/26/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Kevin Beckwith | 1191210 | 1 | 09/02/2000 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Michael Ryan | 2682094 | 1 | 03/31/2000 | Customer Dispute | Pending | $20,444.00 | $0.00 | See FINRA Report |
| Violet Lee | 2279257 | 2 | 08/16/1999 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Geoffrey Alain Thomas | 1211867 | 4 | 03/22/1994 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alan Glenn Kyle | 866427 | 1 | 04/30/1985 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |