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 |
|---|---|---|---|---|---|---|---|---|
| James Matthews Troy | 1172773 | 4 | 10/21/1993 | Customer Dispute | Settled | $9,057.00 | $0.00 | See FINRA Report |
| James R Wright | 473252 | 3 | 10/19/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Gaynor Walsh | 1042029 | 4 | 10/15/1993 | Customer Dispute | Settled | $211,944.00 | $0.00 | See FINRA Report |
| John Albert Hinken | 873876 | 2 | 10/05/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| James Edward Fletcher | 1286797 | 1 | 10/05/1993 | Customer Dispute | Settled | $440,000.00 | $0.00 | See FINRA Report |
| Ronald Arthur Slevin | 500506 | 7 | 09/01/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Ronald Joseph Marciano | 1953770 | 1 | 08/25/1993 | Customer Dispute | Settled | $32,695.00 | $0.00 | See FINRA Report |
| E T Holder | 1374010 | 6 | 08/02/1993 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Jack S Gunter | 232100 | 2 | 07/23/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ralph Michael Byer | 1038411 | 7 | 07/21/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |