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 |
|---|---|---|---|---|---|---|---|---|
| Michael Vincent Foley | 2595233 | 3 | 09/22/2009 | Customer Dispute | Settled | $144,000.00 | $0.00 | See FINRA Report |
| Andrew Thomas Sinsigalli | 2178808 | 3 | 09/22/2009 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Henry G Latimer | 2332585 | 3 | 09/17/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Ralph Walker | 2652135 | 2 | 09/16/2009 | Customer Dispute | Settled | $234,522.00 | $0.00 | See FINRA Report |
| Louis P Spinelli | 4071864 | 1 | 09/15/2009 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Adam Jason Rosenfeld | 4310098 | 9 | 09/14/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Andrew D Allen | 2579061 | 1 | 09/11/2009 | Customer Dispute | Denied | $93,748.00 | $0.00 | See FINRA Report |
| Christopher M Caledonia | 4092254 | 1 | 09/11/2009 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Gregory Alan Scott | 4539293 | 4 | 09/09/2009 | Customer Dispute | Settled | $84,996.00 | $0.00 | See FINRA Report |
| Tino John Pagano | 2178666 | 1 | 09/08/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |