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 |
|---|---|---|---|---|---|---|---|---|
| Jordan M Gelb | 1444391 | 3 | 11/24/2009 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Michael C Swezey | 2403138 | 1 | 11/24/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Milton Jeffrey Leeman | 1559285 | 3 | 11/24/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip H Bruneau | 2104821 | 3 | 11/17/2009 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Richard Edward Sneary | 2352021 | 1 | 11/17/2009 | Customer Dispute | Settled | $98,000.00 | $0.00 | See FINRA Report |
| John Walker Darrah | 1981123 | 2 | 11/13/2009 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Stephen Douglas Ryan | 1932446 | 2 | 11/12/2009 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Elizabeth Meade Shepard | 1063798 | 1 | 11/06/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Marvin L Waltuch | 1455008 | 2 | 11/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William J Moran | 1623755 | 1 | 11/06/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |