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 |
|---|---|---|---|---|---|---|---|---|
| Robert J Labriola | 2291704 | 4 | 10/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Hughes Zimmerman | 2007585 | 2 | 10/08/2009 | Customer Dispute | Settled | $527,364.00 | $0.00 | See FINRA Report |
| David N Pappas | 1189108 | 3 | 10/05/2009 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Daniel Michael Nolan | 867801 | 4 | 10/02/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sarah Blaine Mitchell | 3176180 | 1 | 10/02/2009 | Customer Dispute | Settled | $53,000.00 | $0.00 | See FINRA Report |
| Richard S Wald | 1520964 | 1 | 09/29/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Desmond Heckenberger | 1962023 | 1 | 09/28/2009 | Customer Dispute | Settled | $16,500.00 | $0.00 | See FINRA Report |
| James Michael Barry | 1088379 | 1 | 09/28/2009 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Robert Adam Lauer | 3072882 | 1 | 09/24/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Linda Kay Cliborne | 3237385 | 1 | 09/23/2009 | Customer Dispute | Award / Judgment | $109,519.00 | $0.00 | See FINRA Report |