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 |
|---|---|---|---|---|---|---|---|---|
| Todd Adam Discala | 2288866 | 4 | 08/14/2009 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Dirk Joseph Harris | 4528418 | 4 | 08/13/2009 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Todd Charles Kornguth | 2843101 | 1 | 08/12/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sean Joseph Gaffey | 4284044 | 8 | 08/12/2009 | Customer Dispute | Settled | $128,919.00 | $0.00 | See FINRA Report |
| Timothy Glen Dumas | 1812943 | 1 | 08/10/2009 | Customer Dispute | Settled | $24,904.00 | $0.00 | See FINRA Report |
| Anthony V Provenzano | 1264898 | 2 | 08/10/2009 | Customer Dispute | Award / Judgment | $2,000,000.00 | $10,000.00 | See FINRA Report |
| Daniel Michael Nolan | 867801 | 4 | 08/03/2009 | Customer Dispute | Settled | $2,102,610.00 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 07/30/2009 | Customer Dispute | Settled | $328,000.00 | $0.00 | See FINRA Report |
| Vincent J Vella | 1220236 | 5 | 07/30/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Alan Lezanic | 2380562 | 2 | 07/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |