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 |
|---|---|---|---|---|---|---|---|---|
| Sheena M McCall | 812914 | 2 | 11/11/2001 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Edward A Conklin | 2134502 | 1 | 11/07/2001 | Customer Dispute | Settled | $84,710.00 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 11/06/2001 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Lisa Ann Remack | 1364681 | 1 | 11/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Louis Soares | 1105512 | 4 | 10/31/2001 | Customer Dispute | Settled | $13,600.00 | $0.00 | See FINRA Report |
| Sheila Lynn Carlson | 3094999 | 4 | 10/29/2001 | Customer Dispute | Settled | $8,361.01 | $0.00 | See FINRA Report |
| Raul Andrew Aballi | 1622075 | 2 | 10/23/2001 | Customer Dispute | Settled | $223,424.00 | $0.00 | See FINRA Report |
| Laurette Maxine Wynn | 1471302 | 4 | 10/18/2001 | Customer Dispute | Settled | $447,449.00 | $0.00 | See FINRA Report |
| Nestor J Vicknair | 2283463 | 2 | 10/17/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Richard Schrage | 1132160 | 1 | 10/13/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |