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 |
|---|---|---|---|---|---|---|---|---|
| Cynthia G Phillips | 5447313 | 2 | 11/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher James Thomson | 6721482 | 1 | 11/15/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Stephen Pluta | 1232948 | 4 | 11/03/1989 | Customer Dispute | Award / Judgment | $11,167.20 | $9,403.00 | See FINRA Report |
| Michael Joseph Garand | 1833010 | 1 | 10/13/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carlos Anthony Vaquero | 2788738 | 2 | 10/01/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan M Gelb | 1444391 | 3 | 09/11/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sean Cook | 4150312 | 3 | 06/22/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Arthur Sorensen | 2108565 | 2 | 06/10/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James S Ausloos | 6332274 | 1 | 05/10/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| L Thorne James | 846353 | 2 | 05/09/1989 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |