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 |
|---|---|---|---|---|---|---|---|---|
| Henry J Medina | 2073975 | 3 | 03/11/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Alan Hurst | 1902395 | 3 | 03/09/2004 | Customer Dispute | Settled | $1,051,000.00 | $0.00 | See FINRA Report |
| Raul Andrew Aballi | 1622075 | 2 | 03/08/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 02/29/2004 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| James Dewey Tomlin | 1032498 | 3 | 02/27/2004 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kyle William Morgan | 2610322 | 2 | 02/26/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Dileonardo | 2009596 | 5 | 02/04/2004 | Customer Dispute | Settled | $570,071.00 | $0.00 | See FINRA Report |
| Alvin Anil Murgai | 2072633 | 3 | 02/02/2004 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Clark Clifford Small | 2446498 | 3 | 01/22/2004 | Customer Dispute | Settled | $13,300.00 | $0.00 | See FINRA Report |
| Jason Myerson Beckert | 2839206 | 3 | 01/20/2004 | Customer Dispute | Settled | $168,000.00 | $0.00 | See FINRA Report |