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 |
|---|---|---|---|---|---|---|---|---|
| Hilary Thomas Baumstarck | 2878934 | 1 | 05/30/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brad Philip Green | 1450888 | 3 | 05/25/2000 | Customer Dispute | Settled | $433,000.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 05/16/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Salvatore W Saso | 2932505 | 1 | 05/11/2000 | Customer Dispute | Settled | $17,768.40 | $0.00 | See FINRA Report |
| William M Courtney | 1828913 | 2 | 05/01/2000 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 05/01/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey P Phipps | 362877 | 4 | 04/24/2000 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| John Patrick McNamara | 2224817 | 2 | 04/24/2000 | Customer Dispute | Settled | $11,500.00 | $0.00 | See FINRA Report |
| Scott E Hufault | 2270297 | 1 | 04/20/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Friese | 1629186 | 5 | 04/19/2000 | Customer Dispute | Settled | $52,000.00 | $0.00 | See FINRA Report |