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 |
|---|---|---|---|---|---|---|---|---|
| Clark Clifford Small | 2446498 | 3 | 10/19/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph M Grunfeld | 702415 | 2 | 10/17/1990 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 10/01/1990 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 10/01/1990 | Customer Dispute | Award / Judgment | $300,000.00 | $536,135.00 | See FINRA Report |
| Jason Thomas Liebl | 3028944 | 1 | 09/26/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lisa May Moore | 5159345 | 1 | 09/25/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 09/13/1990 | Customer Dispute | Settled | $21,000.00 | $0.00 | See FINRA Report |
| Kent Fox | 3113368 | 1 | 08/04/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Richard Rollick | 1275360 | 2 | 08/01/1990 | Customer Dispute | Settled | $66,000.00 | $0.00 | See FINRA Report |
| Steven Robert Cross | 1785567 | 2 | 08/01/1990 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |