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 |
|---|---|---|---|---|---|---|---|---|
| Arnold Plonski | 1018636 | 2 | 10/21/1996 | Customer Dispute | Settled | $24,246.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 10/15/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Charles King | 1137602 | 1 | 10/10/1996 | Customer Dispute | Settled | $59,000.00 | $0.00 | See FINRA Report |
| Richard Harris Einziger | 76496 | 2 | 10/04/1996 | Customer Dispute | Settled | $1,030,000.00 | $0.00 | See FINRA Report |
| Geoffrey Albert Stubbs | 2157551 | 1 | 09/20/1996 | Customer Dispute | Settled | $21,338.90 | $0.00 | See FINRA Report |
| Jeffrey Scott Hanson | 2044884 | 5 | 08/28/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| I David Pelton | 1080881 | 7 | 08/28/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ann T Onhaizer | 1703798 | 3 | 08/19/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Daniel Paul Fountain | 1722150 | 1 | 08/02/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Linda G Davila | 711842 | 3 | 08/01/1996 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |