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 |
|---|---|---|---|---|---|---|---|---|
| Lisa C La Vecchia | 1071263 | 1 | 10/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Evan Stuart Kendis | 2911521 | 2 | 10/16/2002 | Customer Dispute | Settled | $19,461.00 | $0.00 | See FINRA Report |
| Barbara Kinsey | 2131694 | 1 | 10/16/2002 | Customer Dispute | Settled | $6,152.75 | $0.00 | See FINRA Report |
| Robert B Lilley | 2712243 | 1 | 10/11/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Allan Barcomb | 2463546 | 2 | 10/10/2002 | Customer Dispute | Settled | $179,706.00 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 10/09/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Mark Stack | 2360844 | 1 | 10/04/2002 | Customer Dispute | Settled | $154,912.00 | $0.00 | See FINRA Report |
| Robert Mark Jurkiewicz | 1965905 | 1 | 10/03/2002 | Customer Dispute | Settled | $51,608.20 | $0.00 | See FINRA Report |
| James Allen Noonan | 844406 | 2 | 09/30/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hans Anders Johnson | 823712 | 3 | 09/26/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |