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 |
|---|---|---|---|---|---|---|---|---|
| Rick Gardner Handy | 857212 | 2 | 01/22/1992 | Customer Dispute | Settled | $54,900.00 | $0.00 | See FINRA Report |
| Robert Newton Scott | 417207 | 9 | 01/07/1992 | Customer Dispute | Settled | $239,000.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 12/30/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 11/19/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Michael Matloff | 1146712 | 2 | 11/18/1991 | Customer Dispute | Settled | $106,666.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 11/11/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Robert Garrido | 1658582 | 1 | 11/01/1991 | Customer Dispute | Settled | $44,100.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 10/28/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Albert Cecil | 838550 | 2 | 10/07/1991 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Frederick S Fox | 212190 | 3 | 08/01/1991 | Customer Dispute | Settled | $157,000.00 | $0.00 | See FINRA Report |