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 |
---|---|---|---|---|---|---|---|---|
Amy Louise Moore | 1137141 | 1 | 05/01/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Benjamin R Jordan | 6980607 | 2 | 05/01/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Philip Michael Caso | 1184083 | 4 | 04/30/1999 | Customer Dispute | Denied | $632,471.00 | $0.00 | See FINRA Report |
Christopher Gilbert Cook | 2270422 | 1 | 04/30/1999 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
Monte Keith Poole | 4165404 | 2 | 04/27/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
Jon Richard Adams | 1255111 | 4 | 04/23/1999 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
Robert Hugh Barrette | 2172288 | 1 | 04/20/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
John F Curtis | 705648 | 2 | 04/20/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
William Todd Wahl | 2116212 | 4 | 04/19/1999 | Customer Dispute | Withdrawn | $68,366.00 | $23,750.00 | See FINRA Report |
Kevin Leduff | 5553451 | 3 | 04/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |