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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Rayne Dunnavant | 2178539 | 2 | 02/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Phillip Wurster | 2774382 | 2 | 02/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathon Frank Brauer | 3220095 | 3 | 02/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Bradford Schur | 2238359 | 1 | 02/25/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Jay Ashcraft | 2353895 | 2 | 02/25/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Spiros Protopsaltis | 1273690 | 3 | 02/25/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Horace H Smith | 1748760 | 6 | 02/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert D Guere | 2658063 | 1 | 02/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Michael Krones | 1142903 | 1 | 02/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael J McCormack | 2602316 | 1 | 02/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |