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 |
|---|---|---|---|---|---|---|---|---|
| Patrick J Welde | 1905819 | 4 | 02/17/1998 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| James Dewey Tomlin | 1032498 | 3 | 02/13/1998 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 02/12/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frederick Joseph Stucker | 1908143 | 7 | 02/10/1998 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Frederick Joseph Stucker | 1908143 | 7 | 02/10/1998 | Customer Dispute | Denied | $19,888.00 | $0.00 | See FINRA Report |
| Abraham Kirtly Post | 2210291 | 1 | 02/10/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Erica Chavez | 6099945 | 1 | 02/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeff Braley | 6147344 | 1 | 02/03/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffery D Price | 2255050 | 3 | 02/03/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Shrader | 809319 | 5 | 01/29/1998 | Customer Dispute | Settled | $102,395.00 | $0.00 | See FINRA Report |