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 | 01/21/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin E Barry | 2702161 | 1 | 01/21/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Norman Noel Forrester | 2201707 | 2 | 01/20/2010 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Ronald John Potter | 2207961 | 1 | 01/19/2010 | Customer Dispute | Settled | $172,861.00 | $0.00 | See FINRA Report |
| Troy Layne Johnson | 2867298 | 1 | 01/13/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 01/12/2010 | Customer Dispute | Settled | $6,200,000.00 | $0.00 | See FINRA Report |
| Sheri Helene Kominsky | 874060 | 1 | 01/06/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 01/04/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David William Prockter | 4153863 | 3 | 01/04/2010 | Customer Dispute | Settled | $53,884.10 | $0.00 | See FINRA Report |
| Angelo J Ponticello | 4141664 | 1 | 12/29/2009 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |