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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Edward Vivino | 455174 | 1 | 06/13/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis John Mc Namee | 1277210 | 1 | 06/01/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William J Zalewski | 1177889 | 2 | 05/31/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Gordon | 2785670 | 2 | 05/23/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tracy de Anne King | 1500791 | 2 | 05/04/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kristoffer Ryan Marshall | 5445730 | 1 | 05/03/2011 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Richard Louis Rosenberg | 834852 | 2 | 05/02/2011 | Customer Dispute | Settled | $199,442.00 | $0.00 | See FINRA Report |
| Matthew Raymond Matuza | 2964841 | 2 | 04/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Miles Weatherly | 2463024 | 2 | 04/19/2011 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Michael Benjamin Provenz | 2270205 | 3 | 04/15/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |