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 |
|---|---|---|---|---|---|---|---|---|
| Pedro Pablo Gomez | 2068388 | 17 | 02/20/2003 | Customer Dispute | Settled | $1,358,170.00 | $0.00 | See FINRA Report |
| Gregory Howard Singletary | 718580 | 3 | 02/18/2003 | Customer Dispute | Settled | $15,566.50 | $0.00 | See FINRA Report |
| Kirk W Thrush | 1164046 | 2 | 02/10/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Andrew Blick | 858393 | 4 | 01/29/2003 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Jeffrey P Phipps | 362877 | 4 | 01/22/2003 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Michael Brendan Weinberg | 2797526 | 1 | 01/21/2003 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |
| Kenneth Homer Kubik | 1996438 | 2 | 01/15/2003 | Customer Dispute | Settled | $98,797.00 | $0.00 | See FINRA Report |
| Richard Timothy Williams | 3126181 | 1 | 01/13/2003 | Customer Dispute | Settled | $61,618.80 | $0.00 | See FINRA Report |
| Brian Dean Ludwick | 1052091 | 4 | 01/02/2003 | Customer Dispute | Settled | $23,215.50 | $0.00 | See FINRA Report |
| Christian Thomas Reinecker | 2553835 | 1 | 12/20/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |