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 |
|---|---|---|---|---|---|---|---|---|
| Marc Allan Compton | 2251843 | 1 | 07/07/2002 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Harold W Smith | 3167818 | 1 | 07/03/2002 | Customer Dispute | Settled | $19,519.00 | $0.00 | See FINRA Report |
| Gregory Grayson Burns | 2191167 | 2 | 06/26/2002 | Customer Dispute | Settled | $58,208.20 | $0.00 | See FINRA Report |
| Raj Sharma | 1764403 | 2 | 06/24/2002 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Philip Wayne Taxman | 2146053 | 1 | 06/18/2002 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Cullen Barclay Murray | 2431344 | 2 | 06/12/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Anderson | 2194562 | 3 | 06/10/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ian Hugh Gordon Rogers | 1502567 | 2 | 06/05/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Alan Scot Taxman | 3060651 | 4 | 06/04/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond John Abbate | 700067 | 4 | 05/31/2002 | Customer Dispute | Settled | $32,000.00 | $0.00 | See FINRA Report |