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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Alan Schmidt | 3064111 | 2 | 05/26/2009 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Bruce Elliott Roberts | 2310652 | 1 | 05/22/2009 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Erik Hjalmar Morland | 2934057 | 1 | 05/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond John Abbate | 700067 | 4 | 05/21/2009 | Customer Dispute | Settled | $24,605.00 | $0.00 | See FINRA Report |
| Rachel Price Mraz | 4416583 | 1 | 05/18/2009 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Danielle Marie Niska | 2534431 | 1 | 05/08/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kimberly Jane Patterson | 4548796 | 1 | 05/04/2009 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Michael Edmond Davis | 1582754 | 1 | 04/27/2009 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Scott Andrew Faulkner | 2872181 | 2 | 04/24/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Cloninger | 5187399 | 1 | 04/24/2009 | Customer Dispute | Settled | $9,166.67 | $0.00 | See FINRA Report |