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 |
|---|---|---|---|---|---|---|---|---|
| Maurice Storch | 2555824 | 1 | 03/03/2013 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Mark Eugene Mattingly | 2977990 | 2 | 03/03/2013 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Kurt David Petersen | 1645890 | 3 | 02/12/2013 | Customer Dispute | Denied | $73,630.00 | $0.00 | See FINRA Report |
| Stephen Martin Sader | 834130 | 1 | 02/12/2013 | Customer Dispute | Settled | $69,769.00 | $0.00 | See FINRA Report |
| Christopher John Baldwin | 1157940 | 1 | 02/11/2013 | Customer Dispute | Settled | $436,619.00 | $0.00 | See FINRA Report |
| Robert Schiano | 4152687 | 2 | 02/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Robert Kaufman | 3166215 | 1 | 02/04/2013 | Customer Dispute | Denied | $226,177.00 | $0.00 | See FINRA Report |
| Justin T McDaniel | 4234008 | 1 | 01/18/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul D Schmidt | 2010727 | 2 | 01/14/2013 | Customer Dispute | Denied | $11,989.30 | $0.00 | See FINRA Report |
| Ethan David Friedman | 2503674 | 1 | 01/14/2013 | Customer Dispute | Denied | $11,989.30 | $0.00 | See FINRA Report |