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 |
|---|---|---|---|---|---|---|---|---|
| Ian Hugh Gordon Rogers | 1502567 | 2 | 03/16/2001 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 03/15/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian David Katz | 2426045 | 4 | 03/13/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James P Orr | 2527765 | 2 | 03/12/2001 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Tompkins | 1213280 | 3 | 03/08/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bryan Glenn Luther | 2543605 | 5 | 03/07/2001 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Michael Earl Brennan | 1100991 | 1 | 03/05/2001 | Customer Dispute | Settled | $75,126.80 | $0.00 | See FINRA Report |
| Dennis D Dobrosky | 1053258 | 1 | 03/05/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Colgan Dyer | 2917796 | 2 | 02/26/2001 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Michael John Northcott | 1888883 | 4 | 02/13/2001 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |