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 |
|---|---|---|---|---|---|---|---|---|
| David Stallman | 1758559 | 4 | 11/17/1997 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Robb William Scott | 3250429 | 1 | 11/15/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Scott McGaughey | 1401961 | 1 | 11/07/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 11/06/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Eric J Watson | 4669691 | 1 | 11/02/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chris Taylor Bettencourt | 2398948 | 1 | 11/01/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eyal Yaffe | 1937169 | 3 | 10/31/1997 | Customer Dispute | Settled | $113,000.00 | $0.00 | See FINRA Report |
| Richard P Crabtree | 6601677 | 6 | 10/28/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Freeman Nevell | 2367210 | 4 | 10/25/1997 | Customer Dispute | Settled | $88,097.00 | $0.00 | See FINRA Report |
| Douglas Malcolm Popovich | 2367211 | 1 | 10/25/1997 | Customer Dispute | Settled | $88,097.00 | $0.00 | See FINRA Report |