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 Paul Reber | 1455132 | 2 | 04/16/1999 | Customer Dispute | Settled | $63,016.00 | $0.00 | See FINRA Report |
| Debra Wallach | 1023895 | 1 | 04/13/1999 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| John Mawson | 2494729 | 2 | 04/12/1999 | Customer Dispute | Settled | $51,000.00 | $0.00 | See FINRA Report |
| Robert G Epstein | 808165 | 1 | 04/06/1999 | Customer Dispute | Settled | $775,000.00 | $0.00 | See FINRA Report |
| Frederick Joseph Stucker | 1908143 | 7 | 04/06/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kim Marie Pearson | 1200368 | 1 | 04/06/1999 | Customer Dispute | Settled | $775,000.00 | $0.00 | See FINRA Report |
| Paul Alfred Gilbert | 220424 | 2 | 04/05/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sheryl R Brown | 5109785 | 1 | 03/27/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Kahn | 2072427 | 7 | 03/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Ambrose | 1624518 | 2 | 03/15/1999 | Customer Dispute | Settled | $308,666.00 | $0.00 | See FINRA Report |