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 |
|---|---|---|---|---|---|---|---|---|
| Richard L Mazur | 324278 | 2 | 06/01/1992 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |
| Alfredo Garcia | 2047892 | 2 | 05/19/1992 | Customer Dispute | Settled | $78,163.00 | $0.00 | See FINRA Report |
| Michael Norbert Moskal | 817800 | 2 | 05/01/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 04/24/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Matthews Troy | 1172773 | 4 | 04/23/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 04/09/1992 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Geoffrey Alain Thomas | 1211867 | 4 | 04/01/1992 | Customer Dispute | Settled | $64,000.00 | $0.00 | See FINRA Report |
| John Richard Brown | 1249514 | 1 | 02/14/1992 | Customer Dispute | Settled | $144,000.00 | $0.00 | See FINRA Report |
| William Andrew Blick | 858393 | 4 | 02/04/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard P Tarantino | 442592 | 2 | 01/27/1992 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |