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 John Lukas | 1226549 | 1 | 09/01/1999 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Albert W Kobular | 1241192 | 3 | 08/25/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| George Thomas Haskins | 2469199 | 1 | 08/19/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Heron Collins | 719354 | 2 | 07/29/1999 | Customer Dispute | Settled | $6,433.02 | $0.00 | See FINRA Report |
| Albert W Kobular | 1241192 | 3 | 06/15/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John Patrick Donnelly | 2374887 | 7 | 05/24/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Neal Steffen Jenkins | 1071777 | 1 | 05/04/1999 | Customer Dispute | Settled | $82,951.00 | $0.00 | See FINRA Report |
| Christopher Gilbert Cook | 2270422 | 1 | 04/30/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jon Richard Adams | 1255111 | 4 | 04/23/1999 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Christopher Paul Reber | 1455132 | 2 | 04/16/1999 | Customer Dispute | Settled | $63,016.00 | $0.00 | See FINRA Report |