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 |
|---|---|---|---|---|---|---|---|---|
| Alan Rattiner | 4841078 | 1 | 11/18/2011 | Customer Dispute | Denied | $6,438.63 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 11/15/2011 | Customer Dispute | Denied | $35,674.00 | $0.00 | See FINRA Report |
| Danielle M Burness | 3088318 | 1 | 11/14/2011 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Ann Marie Richardson | 1526153 | 1 | 10/31/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Gary Kahn Stern | 1351563 | 2 | 10/31/2011 | Customer Dispute | Settled | $61,222,400.00 | $0.00 | See FINRA Report |
| Kenneth Richard Johnson | 5183798 | 1 | 10/25/2011 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Michael Edward Stogner | 4356421 | 1 | 10/19/2011 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| David J Felker | 2724745 | 6 | 10/18/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Kelleher | 1059804 | 5 | 10/17/2011 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| Shawn D Sladek | 2995404 | 1 | 10/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |