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 |
|---|---|---|---|---|---|---|---|---|
| Randal Tremaine Avey | 1057866 | 1 | 12/16/2000 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |
| Bernard B Kavanagh | 2312610 | 2 | 12/15/2000 | Customer Dispute | Settled | $20,889.40 | $0.00 | See FINRA Report |
| James P Orr | 2527765 | 2 | 12/13/2000 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Lionel Mortimer Ives | 1058431 | 1 | 12/12/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Stallman | 1758559 | 4 | 12/06/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Amy M Totonchi | 2657882 | 1 | 11/14/2000 | Customer Dispute | Settled | $411,858.00 | $0.00 | See FINRA Report |
| Steven Fredrick Warch | 1344148 | 4 | 11/13/2000 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Gregory Paul Anderson | 2194562 | 3 | 11/11/2000 | Customer Dispute | Settled | $29,198.00 | $0.00 | See FINRA Report |
| Michael Crewshawn Bailey | 1328472 | 1 | 11/07/2000 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| David Hormell Rice | 1684449 | 2 | 10/31/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |