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 |
|---|---|---|---|---|---|---|---|---|
| Roger Allen Jones | 728640 | 10 | 11/11/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Robert Garrido | 1658582 | 1 | 11/01/1991 | Customer Dispute | Settled | $44,100.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 10/28/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Albert Cecil | 838550 | 2 | 10/07/1991 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Joel Robert Burns | 2259575 | 3 | 08/08/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jerry Charles McMullen | 1042082 | 7 | 08/06/1991 | Customer Dispute | Award / Judgment | $60,403.00 | $79,104.60 | See FINRA Report |
| John Fratangelo | 1947278 | 1 | 08/03/1991 | Customer Dispute | Award / Judgment | $2,498.84 | $2,601.48 | See FINRA Report |
| Nan F Ginger | 1061370 | 1 | 08/01/1991 | Customer Dispute | Award / Judgment | $245,025.00 | $86,000.00 | See FINRA Report |
| Frederick S Fox | 212190 | 3 | 08/01/1991 | Customer Dispute | Settled | $157,000.00 | $0.00 | See FINRA Report |
| Gaines C Walker | 728023 | 4 | 07/01/1991 | Customer Dispute | Settled | $356,669.00 | $0.00 | See FINRA Report |