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 |
|---|---|---|---|---|---|---|---|---|
| Edward Francis McAuliffe | 1850077 | 2 | 04/14/2010 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Mary Wynne Estes | 1767176 | 1 | 04/13/2010 | Customer Dispute | Award / Judgment | $1,950,000.00 | $0.00 | See FINRA Report |
| Brett A Korensky | 2155222 | 4 | 04/12/2010 | Customer Dispute | Settled | $252,000.00 | $0.00 | See FINRA Report |
| Gary Dean Knight | 2210766 | 2 | 04/12/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 04/09/2010 | Customer Dispute | Denied | $54,000.00 | $0.00 | See FINRA Report |
| Anthony M Nannini | 2111896 | 2 | 04/05/2010 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Jonathan Eric Kass | 2504000 | 2 | 03/30/2010 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Daniel Grammel | 1034526 | 3 | 03/30/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| George D Bianco | 706159 | 2 | 03/25/2010 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Gina Infante | 4927516 | 1 | 03/23/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |