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 |
|---|---|---|---|---|---|---|---|---|
| Robert Schiano | 4152687 | 2 | 05/10/2012 | Customer Dispute | Denied | $777,831.00 | $0.00 | See FINRA Report |
| Judi Marie Aber | 2700373 | 1 | 05/08/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Neil Evan Rinehart | 832976 | 3 | 05/04/2012 | Customer Dispute | Settled | $98,000.00 | $0.00 | See FINRA Report |
| Nazie Saffari-Moini | 2246155 | 1 | 05/02/2012 | Customer Dispute | Denied | $100,005.00 | $0.00 | See FINRA Report |
| Cynthia Testa Chaiten | 4078569 | 3 | 04/30/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Brian Richard Janus | 2899680 | 5 | 04/30/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Nicole Marie Andres | 2144858 | 3 | 04/30/2012 | Customer Dispute | Denied | $259,000.00 | $0.00 | See FINRA Report |
| Brian C Schwalbach | 4127140 | 1 | 04/24/2012 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Robert M Dolfi | 1455302 | 2 | 04/11/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Edward Ryall | 408065 | 4 | 04/10/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |