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 |
|---|---|---|---|---|---|---|---|---|
| Patrick J Kergosien | 1730005 | 2 | 06/01/2004 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Joseph Ralph Chiarantona | 1738165 | 4 | 05/28/2004 | Customer Dispute | Withdrawn | $53,523.00 | $0.00 | See FINRA Report |
| Scott T Ribordy | 1588774 | 2 | 05/24/2004 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| David Anthony Stevens | 1991875 | 4 | 05/24/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| John David Cornell | 4038552 | 2 | 05/21/2004 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| Michael Christopher Deroche | 2082544 | 1 | 05/20/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Annterese Toth | 2558291 | 4 | 05/20/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 05/13/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Zilkowski | 1480780 | 4 | 05/13/2004 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| William E Bottomley | 3232026 | 1 | 05/12/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |