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 G Fogarty | 4130324 | 2 | 05/10/2004 | Customer Dispute | Closed-No Action | $12,680.00 | $0.00 | See FINRA Report |
| Michael John Northcott | 1888883 | 4 | 05/08/2004 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| King Kwok Wong | 1901491 | 1 | 05/06/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Juan Antonio Braschi | 1753315 | 6 | 05/06/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fredric Jan Mannheimer | 2425482 | 3 | 05/05/2004 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Francis Leo Abella | 2178797 | 1 | 05/05/2004 | Customer Dispute | Settled | $12,471.00 | $0.00 | See FINRA Report |
| Jennifer S Yoon | 3076614 | 3 | 05/04/2004 | Customer Dispute | Settled | $479,493.00 | $0.00 | See FINRA Report |
| Jeffrey Alan Silverman | 2957070 | 1 | 05/03/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Gaynor Walsh | 1042029 | 4 | 05/03/2004 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Sylvan George Goldwert | 2518832 | 2 | 04/23/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |