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 |
|---|---|---|---|---|---|---|---|---|
| Paul Juergensen | 870446 | 2 | 10/26/2000 | Customer Dispute | Settled | $8,510.26 | $0.00 | See FINRA Report |
| Elizabeth Pfenninger Dahme | 724394 | 4 | 10/18/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Lilburn Coffee | 1158713 | 3 | 10/17/2000 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Kevin Thomas Roth | 1398183 | 1 | 10/13/2000 | Customer Dispute | Settled | $104,000.00 | $0.00 | See FINRA Report |
| Fredrick Jay Shapiro | 2992579 | 1 | 10/04/2000 | Customer Dispute | Settled | $12,500.00 | $0.00 | See FINRA Report |
| John Kevin Wilson | 1248938 | 2 | 10/03/2000 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 10/02/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 09/13/2000 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Gerardo A Castro | 2042384 | 2 | 09/11/2000 | Customer Dispute | Settled | $513,000.00 | $0.00 | See FINRA Report |
| Steven Fredrick Warch | 1344148 | 4 | 09/06/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |