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 |
|---|---|---|---|---|---|---|---|---|
| Susan Lucy Wingard | 1142296 | 1 | 01/15/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Glenn Sun Choy Lau | 2591028 | 1 | 01/11/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott William Marsden | 1502319 | 1 | 01/07/2002 | Customer Dispute | Settled | $33,403.00 | $0.00 | See FINRA Report |
| Daniel Igor Markow | 2098614 | 3 | 01/05/2002 | Customer Dispute | Settled | $242,889.00 | $0.00 | See FINRA Report |
| Keith Reed Clemens | 1210209 | 3 | 12/31/2001 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Brian S MacDonald | 2247372 | 1 | 12/28/2001 | Customer Dispute | Settled | $121,653.00 | $0.00 | See FINRA Report |
| Joan E Mashburn | 2591340 | 1 | 12/27/2001 | Customer Dispute | Settled | $311,000.00 | $0.00 | See FINRA Report |
| Gerardo A Castro | 2042384 | 2 | 12/19/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Keith Reed Clemens | 1210209 | 3 | 12/17/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Thomas Phelan | 362272 | 1 | 12/14/2001 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |