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 Louis Rosenberg | 834852 | 2 | 08/04/1986 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Scott Stagg Eccker | 719469 | 3 | 07/28/1986 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Stagg Eccker | 719469 | 3 | 02/26/1986 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Richard Edward Ryall | 408065 | 4 | 02/11/1986 | Customer Dispute | Settled | $4,000.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 12/18/1985 | Customer Dispute | Settled | $36,400.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 12/17/1985 | Customer Dispute | Settled | $59,500.00 | $0.00 | See FINRA Report |
| Joseph M Grunfeld | 702415 | 2 | 11/21/1985 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 10/09/1985 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Timothy R Cass | 705999 | 1 | 09/30/1985 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Kevin Walter Kolmer | 832957 | 1 | 03/01/1985 | Customer Dispute | Settled | $57,713.10 | $0.00 | See FINRA Report |