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 |
|---|---|---|---|---|---|---|---|---|
| Craig Allen Young | 1979517 | 1 | 04/18/1991 | Customer Dispute | Award / Judgment | $3,906.00 | $740.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 04/03/1991 | Customer Dispute | Settled | $65,047.50 | $0.00 | See FINRA Report |
| Scott Richard Rollick | 1275360 | 2 | 04/01/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Ross Zucker | 2523656 | 1 | 03/28/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clark Hoff | 4274358 | 1 | 03/26/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Warren Owens | 1048781 | 2 | 03/08/1991 | Customer Dispute | Award / Judgment | $12,515.80 | $1,994.22 | See FINRA Report |
| Vincent T Todd Jr | 1085899 | 1 | 03/07/1991 | Customer Dispute | Settled | $58,000.00 | $0.00 | See FINRA Report |
| David Arthur Sorensen | 2108565 | 2 | 02/07/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David E Burns | 1392062 | 3 | 02/01/1991 | Customer Dispute | Award / Judgment | $16,000.00 | $15,426.00 | See FINRA Report |
| John Phillip McAbee | 1030577 | 4 | 01/18/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |