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 |
|---|---|---|---|---|---|---|---|---|
| Kent Weston Overholt | 1767736 | 2 | 10/03/1995 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 09/13/1995 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Ted Kelly Smith | 1675259 | 3 | 09/11/1995 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joseph H Kimura | 851678 | 1 | 08/30/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Andrew Keller | 717259 | 3 | 08/21/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory William Gardner | 217720 | 5 | 08/09/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James F O'Sullivan | 865729 | 1 | 07/17/1995 | Customer Dispute | Settled | $85,654.80 | $0.00 | See FINRA Report |
| Ronald Louis Ganser | 1319734 | 2 | 05/15/1995 | Customer Dispute | Settled | $118,000.00 | $0.00 | See FINRA Report |
| Anthony Thomas Gonzalez | 224936 | 4 | 04/25/1995 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Matthew Varga | 2124814 | 2 | 03/06/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |