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 |
|---|---|---|---|---|---|---|---|---|
| D. Scott Scott Wisman | 1085875 | 3 | 05/06/1994 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Titian C Austin | 1019807 | 2 | 04/15/1994 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Brian King Maxson | 1770890 | 1 | 04/08/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Scott Harkey | 3129207 | 3 | 04/03/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Kenneth Porter | 1132229 | 3 | 03/31/1994 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Geoffrey Alain Thomas | 1211867 | 4 | 03/22/1994 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Alain Thomas | 1211867 | 4 | 03/11/1994 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| John R Pate | 1805356 | 1 | 03/10/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Paul Rogge | 402991 | 1 | 03/01/1994 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Kathleen Eleanor Hegenbart | 1198088 | 3 | 03/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |