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 |
|---|---|---|---|---|---|---|---|---|
| Richard Edward Ryall | 408065 | 4 | 02/11/1986 | Customer Dispute | Settled | $4,000.00 | $0.00 | See FINRA Report |
| Christopher Hoyt Plemons | 1163245 | 1 | 01/22/1986 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 12/18/1985 | Customer Dispute | Settled | $36,400.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 12/17/1985 | Customer Dispute | Settled | $59,500.00 | $0.00 | See FINRA Report |
| Joseph M Grunfeld | 702415 | 2 | 11/21/1985 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 10/09/1985 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Timothy R Cass | 705999 | 1 | 09/30/1985 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Paige Lynn Spalding | 2376441 | 1 | 07/26/1985 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Wallace Carrington | 1645215 | 1 | 07/25/1985 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward George Nabhan | 712933 | 1 | 05/31/1985 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |