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 |
|---|---|---|---|---|---|---|---|---|
| James Edwin Rogers | 5543696 | 1 | 01/17/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeffrey D Wolfe | 2636536 | 1 | 12/16/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael George Ryan | 1767041 | 3 | 12/11/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris Dennis Cunningham | 1573549 | 2 | 12/10/1997 | Customer Dispute | Settled | $25,800.00 | $0.00 | See FINRA Report |
| Ted Gilbert Gray | 1240438 | 2 | 12/09/1997 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Christopher B Bean | 2736963 | 1 | 12/05/1997 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| E T Holder | 1374010 | 6 | 12/01/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert M Durante | 4893796 | 2 | 12/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| F Ronald Dennis | 2643414 | 1 | 11/21/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Janene Evelyn Pirbhai | 2318588 | 1 | 11/19/1997 | Customer Dispute | Denied | $599,400.00 | $0.00 | See FINRA Report |