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FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated

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.

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Displaying 1,261-1,270 out of 4,068 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Christopher Ficara5132333103/12/2011Customer DisputeDenied$6,000.00$0.00See FINRA Report
William J Liebowitz1555491403/11/2011Customer DisputeSettled$500,000.00$0.00See FINRA Report
Jenee N Lister1636908103/07/2011Customer DisputeDenied$0.00$0.00See FINRA Report
Brian Joseph Benandi2464761203/04/2011Customer DisputeDenied$700,000.00$0.00See FINRA Report
D. Scott Scott Wisman1085875303/02/2011Customer DisputeSettled$0.00$0.00See FINRA Report
Peter Geoffrey Snelling1197337303/01/2011Customer DisputeSettled$275,000.00$0.00See FINRA Report
Adam Jason Rosenfeld4310098903/01/2011Customer DisputeSettled$210,486.00$0.00See FINRA Report
Joseph Frank Acquazzino1039303102/23/2011Customer DisputeSettled$200,000.00$0.00See FINRA Report
Rick Baker2106010302/18/2011Customer DisputeDenied$0.00$0.00See FINRA Report
Christopher George Malley2210578102/14/2011Customer DisputeSettled$1,073,940.00$0.00See FINRA Report

4,068 Results

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