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 |
|---|---|---|---|---|---|---|---|---|
| Marie A Treloar | 3042205 | 2 | 05/29/2008 | Customer Dispute | Settled | $11,900.00 | $0.00 | See FINRA Report |
| Peter A Schallmoser | 2974339 | 1 | 05/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kara Elizabeth Worthington | 3029117 | 1 | 05/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter A Wiener | 734847 | 3 | 05/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Ruffin Jernigan | 733522 | 1 | 05/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Lawrence Svarre | 1064152 | 2 | 05/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Lawrence Svarre | 1064152 | 2 | 05/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Bruce Stewart | 1188490 | 1 | 05/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Arthur Slevin | 500506 | 7 | 05/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Hugo Hasenberg | 4357865 | 1 | 05/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |