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 |
|---|---|---|---|---|---|---|---|---|
| T. Bruce Nelson | 1195254 | 1 | 08/17/1993 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Hunter Lodoen | 4152108 | 1 | 08/09/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| E T Holder | 1374010 | 6 | 08/02/1993 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Jack S Gunter | 232100 | 2 | 07/23/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ralph Michael Byer | 1038411 | 7 | 07/21/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Lilburn Coffee | 1158713 | 3 | 07/15/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Armando Ronald Olivieri | 1019665 | 1 | 07/08/1993 | Customer Dispute | Award / Judgment | $39,704.40 | $29,871.00 | See FINRA Report |
| Titian C Austin | 1019807 | 2 | 06/17/1993 | Customer Dispute | Settled | $67,000.00 | $0.00 | See FINRA Report |
| David Michael Roberge | 1189147 | 1 | 06/16/1993 | Customer Dispute | Award / Judgment | $17,000.00 | $21,000.00 | See FINRA Report |
| Stephen Thomas Burgess | 856369 | 1 | 06/11/1993 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |