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 |
|---|---|---|---|---|---|---|---|---|
| Michael McGill | 4728513 | 7 | 03/13/1995 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Matthew Varga | 2124814 | 2 | 03/06/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Jay Edman | 1633252 | 1 | 03/01/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Thomas Gonzalez | 224936 | 4 | 02/21/1995 | Customer Dispute | Settled | $1,314,000.00 | $0.00 | See FINRA Report |
| I David Pelton | 1080881 | 7 | 02/17/1995 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Michael P Carroll | 2793526 | 1 | 01/14/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eugene Richard Cunningham | 1831744 | 1 | 01/12/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edythe Marie de Marco | 1024939 | 1 | 01/11/1995 | Customer Dispute | Award / Judgment | $9,990.00 | $2,937.20 | See FINRA Report |
| Michael Joseph Kelleher | 1059804 | 5 | 01/05/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott T Ribordy | 1588774 | 2 | 01/03/1995 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |