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 |
|---|---|---|---|---|---|---|---|---|
| David Edmund Goodwin | 2434504 | 4 | 07/03/2003 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 07/01/2003 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| John William Boukamp | 1444222 | 8 | 07/01/2003 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Alison Wendy Arnold | 2376970 | 2 | 06/27/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mylene Suazo Barcelona | 3272168 | 1 | 06/26/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Rebecca Susan Rothstein | 1666291 | 4 | 06/18/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Giosue Miserendino | 1344997 | 3 | 06/18/2003 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Eric A Schimpf | 2494318 | 1 | 06/17/2003 | Customer Dispute | Award / Judgment | $623,000.00 | $196,745.00 | See FINRA Report |
| Suzanne Carol Klusner | 1420462 | 1 | 06/17/2003 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Alvin Anil Murgai | 2072633 | 3 | 06/17/2003 | Customer Dispute | Closed-No Action | $51,479.00 | $0.00 | See FINRA Report |