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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Roberge | 1189147 | 1 | 06/16/1993 | Customer Dispute | Award / Judgment | $17,000.00 | $21,000.00 | See FINRA Report |
| Jacqueline A Knoll | 1457925 | 3 | 04/23/1993 | Customer Dispute | Award / Judgment | $8,007.00 | $8,089.00 | See FINRA Report |
| Michael Walter Rader | 860191 | 1 | 03/23/1993 | Customer Dispute | Award / Judgment | $500,000.00 | $75,950.00 | See FINRA Report |
| Robert Joseph Fernandez | 1834366 | 1 | 03/01/1993 | Customer Dispute | Award / Judgment | $1,153.63 | $725.00 | See FINRA Report |
| James D Shulman | 1443813 | 1 | 01/21/1993 | Customer Dispute | Award / Judgment | $10,000.00 | $4,481.92 | See FINRA Report |
| Jacqueline A Knoll | 1457925 | 3 | 11/24/1992 | Customer Dispute | Award / Judgment | $34,684.00 | $3,000.00 | See FINRA Report |
| Donald Allen Tollin | 1185811 | 1 | 10/28/1992 | Customer Dispute | Award / Judgment | $17,000.00 | $12,500.00 | See FINRA Report |
| Dexter M Davis | 1705746 | 3 | 09/16/1992 | Customer Dispute | Award / Judgment | $9,050.00 | $9,050.00 | See FINRA Report |
| Terence Richard Johnson | 1174844 | 1 | 09/15/1992 | Customer Dispute | Award / Judgment | $36,735.00 | $25,000.00 | See FINRA Report |
| Kenneth A Gatto | 1823980 | 1 | 02/01/1992 | Customer Dispute | Award / Judgment | $9,255.00 | $11,027.90 | See FINRA Report |