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 |
|---|---|---|---|---|---|---|---|---|
| Michael Trent Miller | 1802290 | 1 | 06/02/1999 | Customer Dispute | Final | $100,850.00 | $0.00 | See FINRA Report |
| Jody P Sacks | 1175493 | 1 | 06/01/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Bryan Broderick | 2084031 | 3 | 05/28/1999 | Customer Dispute | Denied | $44,275.00 | $0.00 | See FINRA Report |
| J B Degroft | 2251972 | 3 | 05/28/1999 | Customer Dispute | Denied | $44,725.00 | $0.00 | See FINRA Report |
| John Patrick Donnelly | 2374887 | 7 | 05/24/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley B Dean | 1845729 | 2 | 05/21/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Pluta | 1232948 | 4 | 05/10/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Terence Creadon | 1634566 | 1 | 05/07/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 05/06/1999 | Customer Dispute | Denied | $31,785.00 | $0.00 | See FINRA Report |
| Neal Steffen Jenkins | 1071777 | 1 | 05/04/1999 | Customer Dispute | Settled | $82,951.00 | $0.00 | See FINRA Report |