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 |
|---|---|---|---|---|---|---|---|---|
| Andrew Jay Mayer | 1189044 | 1 | 04/20/1998 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Melinda Hosier | 1017507 | 6 | 03/27/1998 | Customer Dispute | Settled | $583,414.00 | $0.00 | See FINRA Report |
| Sheena M McCall | 812914 | 2 | 02/24/1998 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Richard Shrader | 809319 | 5 | 01/29/1998 | Customer Dispute | Settled | $102,395.00 | $0.00 | See FINRA Report |
| Chris Dennis Cunningham | 1573549 | 2 | 12/10/1997 | Customer Dispute | Settled | $25,800.00 | $0.00 | See FINRA Report |
| Ted Gilbert Gray | 1240438 | 2 | 12/09/1997 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| E T Holder | 1374010 | 6 | 12/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Stallman | 1758559 | 4 | 11/17/1997 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Eyal Yaffe | 1937169 | 3 | 10/31/1997 | Customer Dispute | Settled | $113,000.00 | $0.00 | See FINRA Report |
| David Freeman Nevell | 2367210 | 4 | 10/25/1997 | Customer Dispute | Settled | $88,097.00 | $0.00 | See FINRA Report |