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 |
|---|---|---|---|---|---|---|---|---|
| Sandy Ann Gage | 1507343 | 1 | 04/29/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason F Hsu | 2692048 | 1 | 04/29/2003 | Customer Dispute | Denied | $730,000.00 | $0.00 | See FINRA Report |
| Patricia Ann Hamblen | 1880743 | 2 | 04/28/2003 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Stephen Anthony Dumsky | 2799547 | 1 | 04/28/2003 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| David Stallman | 1758559 | 4 | 04/28/2003 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| John Anthony Vilardo | 1653050 | 3 | 04/23/2003 | Customer Dispute | Closed-No Action | $6,299,570.00 | $0.00 | See FINRA Report |
| Douglas Cowles | 1967614 | 2 | 04/21/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John M Garner | 1051582 | 7 | 04/16/2003 | Customer Dispute | Denied | $50,880.00 | $0.00 | See FINRA Report |
| William R Meagher | 1096339 | 1 | 04/15/2003 | Customer Dispute | Settled | $36,500.00 | $0.00 | See FINRA Report |
| Charles Michael Murray | 1877942 | 1 | 04/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |