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 |
|---|---|---|---|---|---|---|---|---|
| Alfredo Garcia | 2047892 | 2 | 05/19/1992 | Customer Dispute | Settled | $78,163.00 | $0.00 | See FINRA Report |
| Brandon Luke Bergstrom | 2887425 | 2 | 05/06/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Norbert Moskal | 817800 | 2 | 05/01/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 04/24/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Matthews Troy | 1172773 | 4 | 04/23/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 04/09/1992 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Geoffrey Alain Thomas | 1211867 | 4 | 04/01/1992 | Customer Dispute | Settled | $64,000.00 | $0.00 | See FINRA Report |
| John Kettmann | 2136900 | 2 | 03/21/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kevin Marshall White | 2128501 | 1 | 03/12/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Richard Brown | 1249514 | 1 | 02/14/1992 | Customer Dispute | Settled | $144,000.00 | $0.00 | See FINRA Report |