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 |
|---|---|---|---|---|---|---|---|---|
| Audrey Gross Tuckerman | 2314775 | 1 | 02/09/2004 | Customer Dispute | Closed-No Action | $46,000.00 | $0.00 | See FINRA Report |
| Gary Linn Potter | 857759 | 1 | 02/06/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sunil Suri | 2207099 | 2 | 02/06/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Dileonardo | 2009596 | 5 | 02/04/2004 | Customer Dispute | Settled | $570,071.00 | $0.00 | See FINRA Report |
| Mark Bryan Broderick | 2084031 | 3 | 02/02/2004 | Customer Dispute | Closed-No Action | $215,000.00 | $0.00 | See FINRA Report |
| Alvin Anil Murgai | 2072633 | 3 | 02/02/2004 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| J B Degroft | 2251972 | 3 | 02/02/2004 | Customer Dispute | Closed-No Action | $215,000.00 | $0.00 | See FINRA Report |
| R B Teal | 2681150 | 2 | 01/29/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Stonger | 2404041 | 1 | 01/28/2004 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Timothy S Greiner | 2403115 | 2 | 01/23/2004 | Customer Dispute | Closed-No Action | $55,000.00 | $0.00 | See FINRA Report |