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 |
|---|---|---|---|---|---|---|---|---|
| Richard Shrader | 809319 | 5 | 04/15/2004 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Lee Sandy Rosen | 717494 | 1 | 04/01/2004 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Myron David Stayman | 1391422 | 6 | 03/31/2004 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| Shannon T Soileau | 2616793 | 2 | 03/22/2004 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mark A Howard | 4270909 | 4 | 03/19/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Roger Sullivan | 4127522 | 1 | 03/17/2004 | Customer Dispute | Settled | $370,192.00 | $0.00 | See FINRA Report |
| Anthony Todd Watts | 2009984 | 5 | 03/16/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Wellborn Hill | 2918218 | 2 | 03/16/2004 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Melissa P Spickler | 719397 | 5 | 03/16/2004 | Customer Dispute | Settled | $200,730.00 | $0.00 | See FINRA Report |
| Randall Chad Parks | 2346833 | 1 | 03/15/2004 | Customer Dispute | Settled | $6,597.03 | $0.00 | See FINRA Report |