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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas D Fauber | 4991142 | 1 | 07/24/2009 | Customer Dispute | Denied | $17,742.80 | $0.00 | See FINRA Report |
| Lisa Childs | 2670521 | 1 | 07/22/2009 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Deborah Wilsker Briskin | 1252096 | 3 | 07/22/2009 | Customer Dispute | Closed-No Action | $1,500,000.00 | $0.00 | See FINRA Report |
| Horace H Smith | 1748760 | 6 | 07/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Allen Seitz | 1026191 | 2 | 07/20/2009 | Customer Dispute | Closed-No Action | $135,144.00 | $0.00 | See FINRA Report |
| Madeline Rosa | 1907799 | 1 | 07/15/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Brennan Craig | 1241158 | 4 | 07/15/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Aaron Frederick Berger | 2451472 | 1 | 07/15/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Adams Weimar | 1200209 | 2 | 07/13/2009 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Kennon Rene McCarthy | 2663007 | 3 | 07/10/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |