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 |
|---|---|---|---|---|---|---|---|---|
| Harry Raymond Goff | 4257059 | 1 | 06/01/2010 | Customer Dispute | Settled | $15,675,000.00 | $0.00 | See FINRA Report |
| Barry Steven Knight | 1519407 | 2 | 05/28/2010 | Customer Dispute | Award / Judgment | $6,400,000.00 | $50,000.00 | See FINRA Report |
| Jennifer Marie Shaw | 2773245 | 2 | 05/27/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Battaglia | 1618389 | 3 | 05/26/2010 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Declan J Mahar | 1233032 | 3 | 05/24/2010 | Customer Dispute | Settled | $7,300,000.00 | $0.00 | See FINRA Report |
| Todd Matthew Kobelski | 3121403 | 2 | 05/20/2010 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Paul Jay Marston | 2344305 | 2 | 05/14/2010 | Customer Dispute | Denied | $10,824.60 | $0.00 | See FINRA Report |
| William Michael Pressman | 2868675 | 4 | 05/10/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Lois Sherman Cartwright | 1037657 | 2 | 05/10/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Gina A Carosella | 4522049 | 3 | 05/07/2010 | Customer Dispute | Settled | $195,000.00 | $0.00 | See FINRA Report |