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 |
|---|---|---|---|---|---|---|---|---|
| Mark Clarence Carlson | 1024633 | 9 | 12/01/1990 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Zachary Anargiros Frangos | 1082417 | 1 | 11/16/1990 | Customer Dispute | Settled | $34,042.00 | $0.00 | See FINRA Report |
| Michael Edward Rische | 1132157 | 2 | 10/20/1990 | Customer Dispute | Settled | $121,132.00 | $0.00 | See FINRA Report |
| Joseph M Grunfeld | 702415 | 2 | 10/17/1990 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 10/01/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 09/13/1990 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Scott Richard Rollick | 1275360 | 2 | 08/01/1990 | Customer Dispute | Settled | $66,000.00 | $0.00 | See FINRA Report |
| Gary Vincent Russell | 855010 | 2 | 07/01/1990 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| John Phillip McAbee | 1030577 | 4 | 06/13/1990 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kenneth M Mirch | 708633 | 5 | 04/20/1990 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |