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 |
|---|---|---|---|---|---|---|---|---|
| Jon Mark Vilmar | 1112624 | 3 | 02/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lewis Benjimen Phillips | 2698501 | 1 | 02/14/2008 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| John Campbell Sung | 2812672 | 1 | 02/05/2008 | Customer Dispute | Settled | $12,233.70 | $0.00 | See FINRA Report |
| Scott Thomas Kendrick | 4041431 | 1 | 01/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| M R Branham | 4534259 | 1 | 01/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erik Vatter | 4706941 | 2 | 01/04/2008 | Customer Dispute | Settled | $7,276.15 | $0.00 | See FINRA Report |
| John Frith Jr | 1946816 | 1 | 01/03/2008 | Customer Dispute | Settled | $1,146,330.00 | $0.00 | See FINRA Report |
| William John Donnell | 1141739 | 1 | 12/27/2007 | Customer Dispute | Settled | $415,000.00 | $0.00 | See FINRA Report |
| Laura B Fulbright | 2309538 | 2 | 12/03/2007 | Customer Dispute | Settled | $37,128.00 | $0.00 | See FINRA Report |
| Mary L Ruch | 1357181 | 2 | 11/20/2007 | Customer Dispute | Settled | $15,600,000.00 | $0.00 | See FINRA Report |