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 |
|---|---|---|---|---|---|---|---|---|
| George Preston Moler | 841948 | 3 | 06/25/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Xuejun J Kuang | 2979824 | 2 | 06/20/2012 | Customer Dispute | Denied | $310,258.00 | $0.00 | See FINRA Report |
| Brian Keith Carickhoff | 2759195 | 1 | 06/18/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 06/12/2012 | Customer Dispute | Settled | $21,000,000.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 06/11/2012 | Customer Dispute | Award / Judgment | $16,000,000.00 | $7,000,000.00 | See FINRA Report |
| Stephen Joseph Renie | 2056480 | 1 | 06/01/2012 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| James Arthur Gingerich | 708003 | 3 | 06/01/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas M Kistler | 4280465 | 1 | 05/31/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel F Thompson | 1768298 | 1 | 05/30/2012 | Customer Dispute | Settled | $42,500.00 | $0.00 | See FINRA Report |
| George Nicholas Tsamutalis | 2366681 | 1 | 05/15/2012 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |