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 |
|---|---|---|---|---|---|---|---|---|
| John Christopher Gatto | 1415454 | 7 | 12/22/2011 | Customer Dispute | Denied | $22,650.00 | $0.00 | See FINRA Report |
| Steven Michael Nussbaum | 1559371 | 2 | 12/22/2011 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kevin J Ruszkowski | 1977186 | 2 | 12/21/2011 | Customer Dispute | Denied | $23,500.00 | $0.00 | See FINRA Report |
| Michael B Cunningham | 2246577 | 3 | 12/21/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raymond John Abbate | 700067 | 4 | 12/08/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Adam Discala | 2288866 | 4 | 12/01/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carol Floyd Ham | 2832668 | 4 | 11/24/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bruce Gregory Barth | 13880 | 8 | 11/22/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher E Fahey | 1888845 | 1 | 11/21/2011 | Customer Dispute | Closed-No Action | $513,000.00 | $0.00 | See FINRA Report |
| Jaime J Nino | 4944134 | 2 | 11/18/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |