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 |
|---|---|---|---|---|---|---|---|---|
| Ashish D Mathur | 4226766 | 2 | 06/22/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanford D Baer | 2971918 | 2 | 06/21/2004 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Walter Howard Duke | 867553 | 1 | 06/18/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Stewart Cook | 2801616 | 1 | 06/17/2004 | Customer Dispute | Settled | $7,647.00 | $0.00 | See FINRA Report |
| Scott Christopher Tater | 2615342 | 1 | 06/14/2004 | Customer Dispute | Settled | $128,000.00 | $0.00 | See FINRA Report |
| Carl M Cafaro | 4200040 | 2 | 06/08/2004 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Elizabeth Hildreth Groh | 719835 | 2 | 06/01/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Anthony Stevens | 1991875 | 4 | 05/24/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Deroche | 2082544 | 1 | 05/20/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Annterese Toth | 2558291 | 4 | 05/20/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |