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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Arthur Slevin | 500506 | 7 | 04/08/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jacob Frederick Eckart | 1109220 | 2 | 04/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jacob Frederick Eckart | 1109220 | 2 | 04/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Lee Staley | 4706453 | 1 | 04/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arthur Kengo Miho | 2737026 | 2 | 04/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Race Karl Stowell | 1963223 | 1 | 04/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James B Hartman | 2357777 | 2 | 04/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Madison Lillard | 2077312 | 1 | 04/04/2008 | Customer Dispute | Settled | $1,925,000.00 | $0.00 | See FINRA Report |
| Stephen William Peters | 4024418 | 1 | 04/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Trong Dinh Pham | 4962171 | 1 | 04/03/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |