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 |
|---|---|---|---|---|---|---|---|---|
| John Jeffrey Sartaine | 3111837 | 1 | 11/18/2003 | Customer Dispute | Settled | $168,080.00 | $0.00 | See FINRA Report |
| Monica Jill Guttmann | 1767228 | 4 | 11/18/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Tucker Dunbar | 2394817 | 1 | 11/17/2003 | Customer Dispute | Settled | $180,622.00 | $0.00 | See FINRA Report |
| Sunil Suri | 2207099 | 2 | 11/07/2003 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Kevin Ronald Wilson | 4211518 | 1 | 10/30/2003 | Customer Dispute | Closed-No Action | $15,097.00 | $0.00 | See FINRA Report |
| Jack S Gunter | 232100 | 2 | 10/30/2003 | Customer Dispute | Closed-No Action | $20,289.00 | $0.00 | See FINRA Report |
| Klaus Miller | 857322 | 3 | 10/30/2003 | Customer Dispute | Settled | $97,772.00 | $0.00 | See FINRA Report |
| Damon Troy Scimemi | 2592828 | 2 | 10/27/2003 | Customer Dispute | Settled | $160,955.00 | $0.00 | See FINRA Report |
| Norman Noel Forrester | 2201707 | 2 | 10/23/2003 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Linda Hollman | 1756991 | 1 | 10/22/2003 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |