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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Z Barnett | 4239823 | 2 | 12/29/2009 | Customer Dispute | Settled | $1,292,000.00 | $0.00 | See FINRA Report |
| John James Forster | 1303832 | 6 | 12/29/2009 | Customer Dispute | Settled | $4,000,000.00 | $0.00 | See FINRA Report |
| Mircea D Selegean | 2024995 | 1 | 12/23/2009 | Customer Dispute | Award / Judgment | $25,000.00 | $0.00 | See FINRA Report |
| Roger Allen Hunt | 1865861 | 1 | 12/22/2009 | Customer Dispute | Dismissed | $5,000,000.00 | $0.00 | See FINRA Report |
| Henry Sullivan | 840962 | 5 | 12/22/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Franklin Bass | 2206579 | 2 | 12/22/2009 | Customer Dispute | Dismissed | $5,000,000.00 | $0.00 | See FINRA Report |
| Erick J Ellsweig | 4501784 | 2 | 12/22/2009 | Customer Dispute | Dismissed | $5,000,000.00 | $0.00 | See FINRA Report |
| Joseph Z Barnett | 4239823 | 2 | 12/21/2009 | Customer Dispute | Settled | $643,205.00 | $0.00 | See FINRA Report |
| Robert J Labriola | 2291704 | 4 | 12/18/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stacey L Specht | 2188443 | 1 | 12/18/2009 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |