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 |
|---|---|---|---|---|---|---|---|---|
| Garland A Rodriguez | 1049944 | 2 | 01/16/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Homer Kubik | 1996438 | 2 | 01/15/2003 | Customer Dispute | Settled | $98,797.00 | $0.00 | See FINRA Report |
| David Robert Feigelman | 1083638 | 3 | 01/14/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Igor Markow | 2098614 | 3 | 01/14/2003 | Customer Dispute | Closed-No Action | $13,000.00 | $0.00 | See FINRA Report |
| Richard Timothy Williams | 3126181 | 1 | 01/13/2003 | Customer Dispute | Settled | $61,618.80 | $0.00 | See FINRA Report |
| Gilda R Borenstein | 1599389 | 3 | 01/09/2003 | Customer Dispute | Closed-No Action | $160,000.00 | $0.00 | See FINRA Report |
| Gilda R Borenstein | 1599389 | 3 | 01/09/2003 | Customer Dispute | Closed-No Action | $201,000.00 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 01/07/2003 | Customer Dispute | Award / Judgment | $500,000.00 | $72,492.00 | See FINRA Report |
| Wayne Sammartino | 1981842 | 3 | 01/06/2003 | Customer Dispute | Denied | $46,624.00 | $0.00 | See FINRA Report |
| Brian Dean Ludwick | 1052091 | 4 | 01/02/2003 | Customer Dispute | Settled | $23,215.50 | $0.00 | See FINRA Report |