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 |
|---|---|---|---|---|---|---|---|---|
| Raymond M Stacy | 2879982 | 2 | 04/13/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brad Philip Green | 1450888 | 3 | 04/11/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William J O'Shaughnessey | 1739562 | 4 | 04/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott G Millman | 4212403 | 1 | 04/11/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Bruce Daniel Huggins | 1444889 | 6 | 04/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Ray Cardwell | 4793841 | 1 | 04/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Attard | 2230493 | 3 | 04/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Jerry Strnad | 2801534 | 4 | 04/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Antonio Pedro da Roza | 2087563 | 2 | 04/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Benjamin Provenz | 2270205 | 3 | 04/09/2008 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |