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 |
|---|---|---|---|---|---|---|---|---|
| Ian Brian MacDermott | 2240508 | 1 | 09/20/2002 | Customer Dispute | Settled | $3,800,000.00 | $0.00 | See FINRA Report |
| Timothy Nathaniel McMullen | 2627239 | 2 | 09/16/2002 | Customer Dispute | Settled | $50,866.60 | $0.00 | See FINRA Report |
| Matthew Kucera | 1086604 | 5 | 09/13/2002 | Customer Dispute | Settled | $25,061.00 | $0.00 | See FINRA Report |
| Kenneth James Nersesian | 1771558 | 1 | 09/09/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Don Kay Shuck | 1209160 | 3 | 09/06/2002 | Customer Dispute | Settled | $24,088.00 | $0.00 | See FINRA Report |
| Mark Robert Alvut | 1096254 | 1 | 09/05/2002 | Customer Dispute | Settled | $2,150,000.00 | $0.00 | See FINRA Report |
| Michael Irving Pinkston | 2566263 | 1 | 09/05/2002 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| James Arthur Gingerich | 708003 | 3 | 08/20/2002 | Customer Dispute | Settled | $499,999.00 | $0.00 | See FINRA Report |
| Richard Merle Flack | 1244315 | 3 | 08/12/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Vincent M Ambroselli | 1683521 | 5 | 08/07/2002 | Customer Dispute | Settled | $358,000.00 | $0.00 | See FINRA Report |