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 |
|---|---|---|---|---|---|---|---|---|
| I David Plaza | 1620180 | 1 | 06/28/2000 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 06/28/2000 | Customer Dispute | Settled | $11,422.00 | $0.00 | See FINRA Report |
| Brett Carter Ledgerwood | 2692788 | 1 | 06/19/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mary Jo G Harper | 1846290 | 3 | 06/19/2000 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Paul Francis Oakley | 1450529 | 2 | 06/15/2000 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| David Seth Comito | 2829855 | 1 | 06/13/2000 | Customer Dispute | Settled | $29,404.00 | $0.00 | See FINRA Report |
| Raphael M Roche | 2425965 | 1 | 06/09/2000 | Customer Dispute | Settled | $49,600.00 | $0.00 | See FINRA Report |
| Francis Joseph Roche | 848416 | 2 | 06/09/2000 | Customer Dispute | Settled | $49,600.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 06/08/2000 | Customer Dispute | Settled | $18,150.00 | $0.00 | See FINRA Report |
| Kenneth Herbert Albers | 1179032 | 3 | 06/02/2000 | Customer Dispute | Settled | $71,135.20 | $0.00 | See FINRA Report |