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 |
|---|---|---|---|---|---|---|---|---|
| Evan Carl Scott | 1104024 | 2 | 04/13/2003 | Customer Dispute | Settled | $87,000.00 | $0.00 | See FINRA Report |
| Thomas Anthony Francomano | 1248986 | 2 | 03/28/2003 | Customer Dispute | Settled | $4,387.87 | $0.00 | See FINRA Report |
| John Thomas Parker | 1059474 | 1 | 03/28/2003 | Customer Dispute | Settled | $4,387.87 | $0.00 | See FINRA Report |
| Robert Francis Dalia | 1293384 | 2 | 03/26/2003 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Jeffrey P Phipps | 362877 | 4 | 03/19/2003 | Customer Dispute | Settled | $69,000.00 | $0.00 | See FINRA Report |
| Jacqueline A Knoll | 1457925 | 3 | 03/10/2003 | Customer Dispute | Settled | $56,191.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 03/06/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian G McNeil | 2631228 | 1 | 02/23/2003 | Customer Dispute | Settled | $1,985,890.00 | $0.00 | See FINRA Report |
| Michael John Northcott | 1888883 | 4 | 02/21/2003 | Customer Dispute | Settled | $330,000.00 | $0.00 | See FINRA Report |
| Daniel John Moran | 1864762 | 5 | 02/21/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |