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 |
|---|---|---|---|---|---|---|---|---|
| Annie M Etchegoyhen | 2786776 | 2 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Hughes Butterworth | 2793567 | 5 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Hughes Butterworth | 2793567 | 5 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 06/05/2009 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| John Patrick McNamara | 2224817 | 2 | 06/04/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Horace H Smith | 1748760 | 6 | 05/27/2009 | Customer Dispute | Settled | $8,500,000.00 | $0.00 | See FINRA Report |
| Thomas Francis Jackson | 3142538 | 1 | 05/27/2009 | Customer Dispute | Settled | $8,500,000.00 | $0.00 | See FINRA Report |
| Alfredo Garcia | 2047892 | 2 | 05/26/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Leonard G Schmidt | 1826693 | 1 | 05/26/2009 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 05/26/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |