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 |
|---|---|---|---|---|---|---|---|---|
| Eric B Candelori | 1678961 | 3 | 12/14/2009 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 12/14/2009 | Customer Dispute | Settled | $2,375,000.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 12/14/2009 | Customer Dispute | Award / Judgment | $8,610,000.00 | $1,824,120.00 | See FINRA Report |
| Stephen Douglas Ryan | 1932446 | 2 | 12/11/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| James Savino Cappiello | 1849724 | 5 | 12/10/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Josh N MacAluso | 4000784 | 1 | 12/08/2009 | Customer Dispute | Settled | $268,627.00 | $0.00 | See FINRA Report |
| Martin Barry Stocklan | 839232 | 2 | 12/08/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian S Coulter | 4123819 | 3 | 12/07/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Hathaway | 1043420 | 1 | 11/30/2009 | Customer Dispute | Denied | $136,700.00 | $0.00 | See FINRA Report |
| Stephen Michael Callari | 2299447 | 3 | 11/25/2009 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |