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 |
|---|---|---|---|---|---|---|---|---|
| Joshua C Strimple | 5265414 | 1 | 10/21/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Raymond Lau | 1974191 | 1 | 10/21/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Stephen Daniel Polin | 2860574 | 5 | 10/20/2009 | Customer Dispute | Settled | $553,732.00 | $0.00 | See FINRA Report |
| Christopher Patrick Cromer | 2802020 | 3 | 10/19/2009 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Stanford D Baer | 2971918 | 2 | 10/18/2009 | Customer Dispute | Closed-No Action | $3,750,000.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 10/15/2009 | Customer Dispute | Settled | $38,350,000.00 | $0.00 | See FINRA Report |
| John Attard | 2230493 | 3 | 10/14/2009 | Customer Dispute | Settled | $8,088,000.00 | $0.00 | See FINRA Report |
| William Jerry Strnad | 2801534 | 4 | 10/14/2009 | Customer Dispute | Settled | $8,088,000.00 | $0.00 | See FINRA Report |
| Robert S Lyons | 3014525 | 1 | 10/14/2009 | Customer Dispute | Denied | $30,985.50 | $0.00 | See FINRA Report |
| Eric Scott Trimble | 2305927 | 1 | 10/13/2009 | Customer Dispute | Settled | $149,000.00 | $0.00 | See FINRA Report |