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 |
|---|---|---|---|---|---|---|---|---|
| Mark E Jones | 261512 | 11 | 12/08/1995 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jonathan Patrick Brecht | 1709990 | 1 | 12/01/1995 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Richard Louis Soares | 1105512 | 4 | 11/21/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradford Judson Porter | 2287718 | 1 | 11/14/1995 | Customer Dispute | Award / Judgment | $1,684.25 | $904.75 | See FINRA Report |
| Robert B Metzger | 2281875 | 1 | 11/08/1995 | Customer Dispute | Settled | $340,000.00 | $0.00 | See FINRA Report |
| Carl G Gordinier | 2365435 | 1 | 10/30/1995 | Customer Dispute | Award / Judgment | $9,000.00 | $4,200.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 10/27/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Thomas Gonzalez | 224936 | 4 | 10/20/1995 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| James Scott Harkey | 3129207 | 3 | 10/18/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan T Meier | 6604043 | 1 | 10/12/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |