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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Scott Hanshaw | 1092652 | 1 | 04/04/1988 | Customer Dispute | Award / Judgment | $74,853.70 | $38,500.00 | See FINRA Report |
| Richard Merle Flack | 1244315 | 3 | 03/07/1988 | Customer Dispute | Award / Judgment | $0.00 | $19,788.00 | See FINRA Report |
| Paul Robert Gabriel | 3125616 | 1 | 03/05/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nannette E MacBeth | 315634 | 2 | 03/02/1988 | Customer Dispute | Settled | $82,000.00 | $0.00 | See FINRA Report |
| Vincent Francis Condon | 1258318 | 2 | 02/05/1988 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 01/25/1988 | Customer Dispute | Settled | $163,000.00 | $0.00 | See FINRA Report |
| Nannette E MacBeth | 315634 | 2 | 01/13/1988 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Patrick Cody | 49467 | 2 | 01/01/1988 | Customer Dispute | Award / Judgment | $474,784.00 | $50,000.00 | See FINRA Report |
| Richard Walter Smalley | 1322164 | 1 | 12/28/1987 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Madelyn Phyllis Verhaeghe | 714051 | 1 | 12/11/1987 | Customer Dispute | Award / Judgment | $14,438.00 | $5,780.00 | See FINRA Report |