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 |
|---|---|---|---|---|---|---|---|---|
| Roger Joseph Fox | 806756 | 3 | 05/20/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Thomas Burriciello | 2448846 | 1 | 05/19/2003 | Customer Dispute | Denied | $35,350.00 | $0.00 | See FINRA Report |
| Mitchell Steven Behm | 1494507 | 3 | 05/14/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jerry Scott Brown | 1676362 | 4 | 05/09/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Todd Alan Dorman | 1611742 | 1 | 05/08/2003 | Customer Dispute | Withdrawn | $360,000.00 | $0.00 | See FINRA Report |
| Mark Friese | 1629186 | 5 | 05/06/2003 | Customer Dispute | Closed-No Action | $24,000.00 | $0.00 | See FINRA Report |
| Alberto Hamonet | 3077774 | 1 | 05/05/2003 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Habib H Yousefzadeh | 2040880 | 1 | 05/02/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen M Raccuia | 2862541 | 1 | 05/02/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stamatis Anestis Valaes | 1022851 | 1 | 05/02/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |