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 |
|---|---|---|---|---|---|---|---|---|
| Georgia Plavocos Kelly | 1543234 | 1 | 10/03/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard J Williams | 4656742 | 2 | 09/23/2011 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| John James Forster | 1303832 | 6 | 09/23/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen F Nofs | 4204057 | 1 | 09/22/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Sharon | 1971997 | 2 | 09/22/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Vincent Depiero | 1501142 | 1 | 09/21/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Vincent J Vella | 1220236 | 5 | 09/20/2011 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Michael Bruce Milner | 2480538 | 1 | 09/13/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carlos A Escobar | 2240225 | 1 | 09/13/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Graham Sylvester | 3100732 | 2 | 09/06/2011 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |