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 | 06/26/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lela Suzanne Bayley | 1216003 | 2 | 06/16/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Jay Ross | 1455304 | 2 | 06/01/1991 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Mark Steven Harris | 720735 | 1 | 05/23/1991 | Customer Dispute | Award / Judgment | $3,156.00 | $2,707.91 | See FINRA Report |
| Louise W Glover | 2131841 | 1 | 05/22/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Laurette Maxine Wynn | 1471302 | 4 | 05/15/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Kenneth Porter | 1132229 | 3 | 05/13/1991 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Peter A Danas | 1365371 | 2 | 05/01/1991 | Customer Dispute | Settled | $12,523.00 | $0.00 | See FINRA Report |
| Carlos Ordonez | 4442106 | 1 | 04/23/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 04/21/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |