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 |
|---|---|---|---|---|---|---|---|---|
| Roger Michael Matloff | 1146712 | 2 | 04/17/1990 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Lawrence P de Santis | 1271545 | 2 | 03/19/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Gaynor Walsh | 1042029 | 4 | 03/14/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harvey Rudowitz | 1302642 | 3 | 02/05/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Gregory Sullivan | 1246507 | 2 | 02/01/1990 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Alan Harry Ford | 211004 | 2 | 12/19/1989 | Customer Dispute | Settled | $933,092.00 | $0.00 | See FINRA Report |
| L Thorne James | 846353 | 2 | 05/09/1989 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Michael Stephen Chin | 1246611 | 3 | 03/03/1989 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Laurette Maxine Wynn | 1471302 | 4 | 08/31/1988 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 08/18/1988 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |