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 |
|---|---|---|---|---|---|---|---|---|
| David Anthony Stevens | 1991875 | 4 | 08/07/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fernando Gandara | 2869767 | 3 | 07/22/2002 | Customer Dispute | Settled | $94,000.00 | $0.00 | See FINRA Report |
| William Jeffrey Neal | 1420444 | 4 | 07/19/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph Stizza | 2956977 | 5 | 07/18/2002 | Customer Dispute | Settled | $99,679.50 | $0.00 | See FINRA Report |
| Noreen F McKillop | 1410692 | 2 | 07/15/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Alan Hurst | 1902395 | 3 | 07/12/2002 | Customer Dispute | Settled | $16,828,000.00 | $0.00 | See FINRA Report |
| Mark Robert Holland | 1503528 | 4 | 07/09/2002 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Robert John Schuldt | 2483353 | 5 | 07/08/2002 | Customer Dispute | Settled | $97,364.20 | $0.00 | See FINRA Report |
| Robert John Schuldt | 2483353 | 5 | 07/08/2002 | Customer Dispute | Settled | $348,588.00 | $0.00 | See FINRA Report |
| Mark Friese | 1629186 | 5 | 07/08/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |