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 |
|---|---|---|---|---|---|---|---|---|
| I David Pelton | 1080881 | 7 | 08/28/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ann T Onhaizer | 1703798 | 3 | 08/19/1996 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Daniel Paul Fountain | 1722150 | 1 | 08/02/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Linda G Davila | 711842 | 3 | 08/01/1996 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| H William Netherton | 710952 | 4 | 07/31/1996 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Milton Jeffrey Leeman | 1559285 | 3 | 07/26/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerry Charles McMullen | 1042082 | 7 | 06/19/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Misty Misty Matsuba-Lee | 6387318 | 1 | 06/18/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher L Williams | 1157162 | 1 | 06/11/1996 | Customer Dispute | Settled | $684,000.00 | $0.00 | See FINRA Report |
| Courtney S Kwas | 2199000 | 1 | 06/10/1996 | Customer Dispute | Settled | $61,944.00 | $0.00 | See FINRA Report |