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 |
|---|---|---|---|---|---|---|---|---|
| James Patrick Bowe | 2856374 | 5 | 04/03/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeff James Johnson | 4544526 | 1 | 04/01/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Michael Ryan | 2682094 | 1 | 03/31/2000 | Customer Dispute | Pending | $20,444.00 | $0.00 | See FINRA Report |
| Richard P Tarantino | 442592 | 2 | 03/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lyndell Ray Fross | 1265077 | 1 | 03/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William L Mustin | 2737029 | 1 | 03/27/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jorge A Gonzalez | 5721239 | 2 | 03/25/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa Kranzler Kent | 1026177 | 1 | 03/24/2000 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| Frederick Paul Woods | 1447058 | 1 | 03/19/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Mills | 1301076 | 2 | 03/17/2000 | Customer Dispute | Award / Judgment | $168,845.00 | $163,345.00 | See FINRA Report |