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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Welfley | 4283869 | 1 | 08/07/2008 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Jeffrey George | 4861528 | 1 | 08/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carol L Todd | 1337510 | 2 | 08/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Morgan Elyse Kennedy | 3155490 | 1 | 07/29/2008 | Customer Dispute | Settled | $9,000,000.00 | $0.00 | See FINRA Report |
| Thomas Kevin Clark | 2070256 | 1 | 07/24/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fern Grossman Schwartz | 1081663 | 1 | 07/24/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerry Scott Brown | 1676362 | 4 | 07/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Charles Hudson | 3123356 | 1 | 07/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Patrick Selig | 4066468 | 1 | 07/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Fitzgarrald | 4001681 | 1 | 07/16/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |