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 |
|---|---|---|---|---|---|---|---|---|
| William Joseph Grace | 813945 | 2 | 09/15/1986 | Customer Dispute | Award / Judgment | $500,000.00 | $96,264.00 | See FINRA Report |
| Edward Gerald Schwarz | 843622 | 2 | 12/02/1982 | Customer Dispute | Award / Judgment | $65,000.00 | $225,150.00 | See FINRA Report |
| Steven Kerstein | 871661 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $269,000.00 | $75,000.00 | See FINRA Report |
| William Jon Grombala | 1209225 | 1 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $725.00 | See FINRA Report |