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 |
|---|---|---|---|---|---|---|---|---|
| John Attard | 2230493 | 3 | 07/08/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Jerry Strnad | 2801534 | 4 | 07/08/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Hamm | 2143067 | 2 | 07/06/2010 | Customer Dispute | Denied | $16,891.00 | $0.00 | See FINRA Report |
| Horace H Smith | 1748760 | 6 | 07/02/2010 | Customer Dispute | Denied | $35,000,000.00 | $0.00 | See FINRA Report |
| Robert Dennis Long | 2554252 | 2 | 07/01/2010 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 06/30/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Rene Syriani | 3092113 | 3 | 06/30/2010 | Customer Dispute | Settled | $68,090.40 | $0.00 | See FINRA Report |
| James Edward Danko | 3101788 | 1 | 06/25/2010 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |
| Randall Caton | 5158276 | 1 | 06/25/2010 | Customer Dispute | Closed-No Action | $17,935.90 | $0.00 | See FINRA Report |
| Neal Allan Nelson | 715683 | 1 | 06/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |