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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Dean Dyrek | 1351742 | 1 | 12/20/1999 | Customer Dispute | Award / Judgment | $360,000.00 | $3,145.00 | See FINRA Report |
| Clinton W Factor | 2530794 | 2 | 12/17/1999 | Customer Dispute | Award / Judgment | $14,026.40 | $6,000.00 | See FINRA Report |
| John Joseph Brienza | 1652520 | 5 | 07/12/1999 | Customer Dispute | Award / Judgment | $800,000.00 | $42,524.80 | See FINRA Report |
| Bruce Arnold Chappell | 44810 | 3 | 03/03/1998 | Customer Dispute | Award / Judgment | $59,461.00 | $36,497.70 | See FINRA Report |
| Marc P Cassalina | 2074366 | 1 | 10/22/1997 | Customer Dispute | Award / Judgment | $95,000.00 | $14,780.00 | See FINRA Report |
| Richard Baer | 1667931 | 5 | 07/01/1997 | Customer Dispute | Award / Judgment | $50,980.00 | $3,545.56 | See FINRA Report |
| John Carl Varricchio | 718964 | 1 | 03/25/1997 | Customer Dispute | Award / Judgment | $9,653.00 | $150.00 | See FINRA Report |
| Gregory L Harned | 1391376 | 1 | 03/13/1997 | Customer Dispute | Award / Judgment | $0.00 | $47,000.00 | See FINRA Report |
| Rial Allen Barnett | 1906698 | 2 | 12/16/1996 | Customer Dispute | Award / Judgment | $29,904.00 | $6,200.00 | See FINRA Report |
| Brian Patrick Sexton | 2543513 | 1 | 10/18/1996 | Customer Dispute | Award / Judgment | $2,064.12 | $1,032.00 | See FINRA Report |