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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Arthur Munroe | 1627192 | 1 | 10/12/2001 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Frank Earl Johnson | 1947251 | 4 | 10/11/2001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Andrew J Meyer | 2840988 | 3 | 10/09/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 10/08/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William August Carmody | 1961985 | 1 | 09/27/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roy Borrego | 1630846 | 2 | 09/26/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John A Frost | 866394 | 1 | 09/14/2001 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Charles Richard Lewis | 703777 | 1 | 09/13/2001 | Customer Dispute | Settled | $25,000,000.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 09/10/2001 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 09/07/2001 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |