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 |
|---|---|---|---|---|---|---|---|---|
| Chris Philip Maniaci | 2502562 | 1 | 09/01/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher J Reino | 5867737 | 1 | 09/01/2011 | Customer Dispute | Denied | $305,686.00 | $0.00 | See FINRA Report |
| Paul Ryan Vannatta | 2572070 | 3 | 08/25/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 08/24/2011 | Customer Dispute | Settled | $1,575,000.00 | $0.00 | See FINRA Report |
| Charles P Balducci | 2955423 | 2 | 08/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric S Snyder | 2706837 | 3 | 08/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marvin L Waltuch | 1455008 | 2 | 08/11/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cullen Barclay Murray | 2431344 | 2 | 08/09/2011 | Customer Dispute | Settled | $848,910.00 | $0.00 | See FINRA Report |
| Darren Kipnis | 1504568 | 1 | 08/08/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Arthur Slevin | 500506 | 7 | 08/05/2011 | Customer Dispute | Settled | $754,546.00 | $0.00 | See FINRA Report |