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 |
|---|---|---|---|---|---|---|---|---|
| Lawrence A Weiss | 2218632 | 1 | 03/24/1998 | Customer Dispute | Denied | $18,911.50 | $0.00 | See FINRA Report |
| Lee Edward Keeler | 1215299 | 1 | 03/20/1998 | Customer Dispute | Closed-No Action | $66,000.00 | $0.00 | See FINRA Report |
| Daniel Francis Friel | 1371900 | 2 | 03/18/1998 | Customer Dispute | Closed-No Action | $1,100,000.00 | $0.00 | See FINRA Report |
| David Stevenson Burlin | 1808618 | 2 | 03/16/1998 | Customer Dispute | Denied | $16,246.80 | $0.00 | See FINRA Report |
| Alan James Scharff | 1549077 | 1 | 03/12/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tracy L Dorics | 5276127 | 1 | 03/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Hubert Velepec | 1754003 | 1 | 03/09/1998 | Customer Dispute | Denied | $17,588.00 | $0.00 | See FINRA Report |
| John Arthur Syverson | 1024864 | 1 | 03/06/1998 | Customer Dispute | Denied | $28,900.00 | $0.00 | See FINRA Report |
| Bruce Arnold Chappell | 44810 | 3 | 03/03/1998 | Customer Dispute | Award / Judgment | $59,461.00 | $36,497.70 | See FINRA Report |
| Sheena M McCall | 812914 | 2 | 02/24/1998 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |