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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Ray Rupp | 1343768 | 1 | 01/20/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jennifer M Carroll | 2454788 | 1 | 01/16/2004 | Customer Dispute | Settled | $8,903.75 | $0.00 | See FINRA Report |
| Joseph Francis Fessler | 1889126 | 2 | 01/09/2004 | Customer Dispute | Settled | $349,822.00 | $0.00 | See FINRA Report |
| Susana Lugones | 2091976 | 3 | 01/06/2004 | Customer Dispute | Settled | $14,800.00 | $0.00 | See FINRA Report |
| Todd Adam Discala | 2288866 | 4 | 01/05/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Glenn Luther | 2543605 | 5 | 01/02/2004 | Customer Dispute | Settled | $285,451.00 | $0.00 | See FINRA Report |
| Michael Bishop Jones | 2098441 | 2 | 12/24/2003 | Customer Dispute | Settled | $269,055.00 | $0.00 | See FINRA Report |
| J Geoffrey Grant | 1235987 | 3 | 12/23/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Yogesh P Kamdar | 2001634 | 2 | 11/28/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Shrader | 809319 | 5 | 11/24/2003 | Customer Dispute | Settled | $68,000,000.00 | $0.00 | See FINRA Report |