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 |
|---|---|---|---|---|---|---|---|---|
| Donald George Bell | 1769550 | 1 | 11/01/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jesse Joseph Herr | 4818189 | 1 | 10/15/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Laurette Maxine Wynn | 1471302 | 4 | 08/31/1988 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Paul Mark Luciano | 2373685 | 1 | 08/30/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew C Wages | 4012884 | 1 | 08/18/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 08/18/1988 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Peter Francis Wojanowski | 2015500 | 2 | 07/18/1988 | Customer Dispute | Settled | $77,768.60 | $0.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 05/05/1988 | Customer Dispute | Award / Judgment | $46,928.20 | $11,045.90 | See FINRA Report |
| Michael D Sweeney | 1068756 | 2 | 05/03/1988 | Customer Dispute | Settled | $18,750.00 | $0.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 04/28/1988 | Customer Dispute | Settled | $169,873.00 | $0.00 | See FINRA Report |