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 |
|---|---|---|---|---|---|---|---|---|
| William Stephen Pickering | 1233918 | 2 | 11/01/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Bridger Jones | 6776004 | 1 | 10/31/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mary R Lynes | 1085096 | 1 | 10/29/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Reed Clemens | 1210209 | 3 | 10/07/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dustin F Moore | 5979792 | 1 | 10/07/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marc Portor Davis | 1685508 | 1 | 10/05/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Amy McCormick | 3149902 | 1 | 09/28/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert M Durante | 4893796 | 2 | 09/28/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Allen Livingston | 1035655 | 1 | 09/23/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jon Richard Adams | 1255111 | 4 | 09/18/1998 | Customer Dispute | Settled | $36,492.10 | $0.00 | See FINRA Report |