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 |
|---|---|---|---|---|---|---|---|---|
| Anthony V Provenzano | 1264898 | 2 | 08/10/2009 | Customer Dispute | Award / Judgment | $2,000,000.00 | $10,000.00 | See FINRA Report |
| Mark Robert Holland | 1503528 | 4 | 05/08/2009 | Customer Dispute | Award / Judgment | $24,450.00 | $13,712.50 | See FINRA Report |
| Scott Dennis Krause | 1845575 | 3 | 04/07/2009 | Customer Dispute | Award / Judgment | $58,512.40 | $58,512.40 | See FINRA Report |
| Mark Robert Holland | 1503528 | 4 | 02/23/2009 | Customer Dispute | Award / Judgment | $100,000.00 | $32,230.20 | See FINRA Report |
| Marcus J Hernandez | 4218478 | 3 | 02/17/2009 | Customer Dispute | Award / Judgment | $1,000,000.00 | $93,953.60 | See FINRA Report |
| Ronald Arthur Slevin | 500506 | 7 | 11/20/2008 | Customer Dispute | Award / Judgment | $333,343.00 | $0.00 | See FINRA Report |
| Sharon Bentz Mustered | 1758562 | 3 | 06/10/2008 | Customer Dispute | Award / Judgment | $300,000.00 | $85,546.60 | See FINRA Report |
| John G Mizzi | 1236123 | 3 | 10/26/2005 | Customer Dispute | Award / Judgment | $160,834.00 | $1.00 | See FINRA Report |
| Joseph Ralph Chiarantona | 1738165 | 4 | 10/04/2005 | Customer Dispute | Award / Judgment | $0.00 | $35,000.00 | See FINRA Report |
| Iain Andrew Sharpe | 3210728 | 3 | 06/28/2005 | Customer Dispute | Award / Judgment | $30,470.00 | $5,000.00 | See FINRA Report |