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 |
---|---|---|---|---|---|---|---|---|
Christopher Ficara | 5132333 | 1 | 03/12/2011 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
William J Liebowitz | 1555491 | 4 | 03/11/2011 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
Jenee N Lister | 1636908 | 1 | 03/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Brian Joseph Benandi | 2464761 | 2 | 03/04/2011 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
D. Scott Scott Wisman | 1085875 | 3 | 03/02/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Peter Geoffrey Snelling | 1197337 | 3 | 03/01/2011 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
Adam Jason Rosenfeld | 4310098 | 9 | 03/01/2011 | Customer Dispute | Settled | $210,486.00 | $0.00 | See FINRA Report |
Joseph Frank Acquazzino | 1039303 | 1 | 02/23/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
Rick Baker | 2106010 | 3 | 02/18/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Christopher George Malley | 2210578 | 1 | 02/14/2011 | Customer Dispute | Settled | $1,073,940.00 | $0.00 | See FINRA Report |