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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Malcolm Popovich | 2367211 | 1 | 10/25/1997 | Customer Dispute | Settled | $88,097.00 | $0.00 | See FINRA Report |
| John Thomas Schoeppach | 2196616 | 2 | 10/07/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 09/24/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Justin M Griffin | 2561554 | 1 | 09/09/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Craig Hornberger | 1032824 | 1 | 07/31/1997 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Lewis D Gregory | 3066894 | 1 | 05/21/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernard B Kavanagh | 2312610 | 2 | 05/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Philip Earl Blevins | 1109393 | 2 | 05/01/1997 | Customer Dispute | Settled | $875,000.00 | $0.00 | See FINRA Report |
| W C May | 1007891 | 2 | 04/30/1997 | Customer Dispute | Settled | $361,664.00 | $0.00 | See FINRA Report |
| James G Bowman | 1474778 | 2 | 04/24/1997 | Customer Dispute | Settled | $133,677.00 | $0.00 | See FINRA Report |