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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Cecil Beach | 2074390 | 2 | 06/11/2001 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 06/08/2001 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Terence J Creighton | 733174 | 3 | 06/07/2001 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Levesque | 2190648 | 4 | 06/01/2001 | Customer Dispute | Settled | $773.00 | $0.00 | See FINRA Report |
| John Clinton Cate | 3055355 | 5 | 05/30/2001 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Karen Ann Verrone | 1029362 | 1 | 05/23/2001 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Jeffrey Mark Christenat | 2298832 | 1 | 05/23/2001 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Casey Brad Barry | 2616589 | 1 | 05/22/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Matthew Carson | 2302422 | 1 | 05/16/2001 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Barry Steven Marks | 704929 | 3 | 05/10/2001 | Customer Dispute | Settled | $101,257.00 | $0.00 | See FINRA Report |