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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Norman Loftus | 1005560 | 1 | 09/03/1996 | Customer Dispute | Award / Judgment | $0.00 | $22,693.00 | See FINRA Report |
| Bradford Judson Porter | 2287718 | 1 | 11/14/1995 | Customer Dispute | Award / Judgment | $1,684.25 | $904.75 | See FINRA Report |
| Carl G Gordinier | 2365435 | 1 | 10/30/1995 | Customer Dispute | Award / Judgment | $9,000.00 | $4,200.00 | See FINRA Report |
| Daniel Adolph Czapla | 1547687 | 2 | 07/25/1995 | Customer Dispute | Award / Judgment | $8,899.00 | $2,350.90 | See FINRA Report |
| Edythe Marie de Marco | 1024939 | 1 | 01/11/1995 | Customer Dispute | Award / Judgment | $9,990.00 | $2,937.20 | See FINRA Report |
| Sean Robert Waltz | 2335889 | 2 | 11/01/1994 | Customer Dispute | Award / Judgment | $7,010.85 | $4,612.50 | See FINRA Report |
| Wayne Sammartino | 1981842 | 3 | 09/02/1994 | Customer Dispute | Award / Judgment | $880.00 | $879.38 | See FINRA Report |
| Gary George Peirce | 2098729 | 3 | 07/07/1994 | Customer Dispute | Award / Judgment | $8,950.00 | $7,000.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 10/14/1993 | Customer Dispute | Award / Judgment | $75,000.00 | $20,000.00 | See FINRA Report |
| Armando Ronald Olivieri | 1019665 | 1 | 07/08/1993 | Customer Dispute | Award / Judgment | $39,704.40 | $29,871.00 | See FINRA Report |