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FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated

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.

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Displaying 5,811-5,820 out of 6,462 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Amy Louise Moore1137141105/01/1999Customer DisputeDenied$0.00$0.00See FINRA Report
Benjamin R Jordan6980607205/01/1999CriminalFinal Disposition$0.00$0.00See FINRA Report
Philip Michael Caso1184083404/30/1999Customer DisputeDenied$632,471.00$0.00See FINRA Report
Christopher Gilbert Cook2270422104/30/1999Customer DisputeSettled$50,000.00$0.00See FINRA Report
Monte Keith Poole4165404204/27/1999CriminalFinal Disposition$0.00$0.00See FINRA Report
Jon Richard Adams1255111404/23/1999Customer DisputeSettled$7,000,000.00$0.00See FINRA Report
Robert Hugh Barrette2172288104/20/1999Customer DisputeDenied$0.00$0.00See FINRA Report
John F Curtis705648204/20/1999Customer DisputeDenied$0.00$0.00See FINRA Report
William Todd Wahl2116212404/19/1999Customer DisputeWithdrawn$68,366.00$23,750.00See FINRA Report
Kevin Leduff5553451304/17/1999CriminalFinal Disposition$0.00$0.00See FINRA Report

6,462 Results

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