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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Anthony Cafaro | 4800150 | 1 | 02/04/2010 | Customer Dispute | Settled | $76,809.00 | $0.00 | See FINRA Report |
| John M Garner | 1051582 | 7 | 02/02/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam Jason Rosenfeld | 4310098 | 9 | 02/01/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicole Marie Andres | 2144858 | 3 | 01/28/2010 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 01/27/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Barry Joseph Williams | 2922674 | 1 | 01/26/2010 | Customer Dispute | Denied | $173,825.00 | $0.00 | See FINRA Report |
| Glenn E Hain | 2645863 | 4 | 01/26/2010 | Customer Dispute | Denied | $135,000.00 | $0.00 | See FINRA Report |
| Brett I Moritz | 3122963 | 2 | 01/26/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark Winters | 5153640 | 1 | 01/26/2010 | Customer Dispute | Settled | $10,479.00 | $0.00 | See FINRA Report |
| S. Ryan Hamm | 4490931 | 1 | 01/25/2010 | Customer Dispute | Award / Judgment | $800,000.00 | $190,000.00 | See FINRA Report |