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 |
|---|---|---|---|---|---|---|---|---|
| Robert Gerald Hendren | 1586873 | 1 | 09/28/2006 | Customer Dispute | Settled | $27,451.00 | $0.00 | See FINRA Report |
| James R Wright | 473252 | 3 | 09/20/2006 | Customer Dispute | Settled | $364,176.00 | $0.00 | See FINRA Report |
| Frank Earl Johnson | 1947251 | 4 | 09/14/2006 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Robert G Fogarty | 4130324 | 2 | 08/29/2006 | Customer Dispute | Settled | $8,201.70 | $0.00 | See FINRA Report |
| Kurt David Petersen | 1645890 | 3 | 08/15/2006 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Lindsay A Corbin | 4595997 | 1 | 07/19/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark A Howard | 4270909 | 4 | 07/05/2006 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eugene Christensen | 1274728 | 2 | 06/07/2006 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Eric W Anderson | 2447440 | 4 | 04/26/2006 | Customer Dispute | Settled | $17,270,000.00 | $0.00 | See FINRA Report |
| Wynne Patrick Murphy | 1163570 | 3 | 04/19/2006 | Customer Dispute | Settled | $74,000.00 | $0.00 | See FINRA Report |