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 |
|---|---|---|---|---|---|---|---|---|
| Rory Springfield | 4149690 | 1 | 06/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David William Baugh | 858800 | 2 | 06/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Patrick Cromer | 2802020 | 3 | 06/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Clifford Armstrong | 2140639 | 1 | 06/16/2008 | Customer Dispute | Settled | $61,371.10 | $0.00 | See FINRA Report |
| Kenneth Homer Kubik | 1996438 | 2 | 06/13/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Coleman | 4571355 | 1 | 06/13/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Hamm | 2143067 | 2 | 06/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Henry G Latimer | 2332585 | 3 | 06/05/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Jordon John Havens | 2847842 | 2 | 06/02/2008 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Mark G Johnson | 2931766 | 6 | 06/02/2008 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |