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 |
|---|---|---|---|---|---|---|---|---|
| Lance Edward Marcus | 1307602 | 3 | 11/06/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Cynthia L Hedahl | 2330976 | 1 | 11/04/2002 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Jeffrey Marc Mandell | 4262799 | 1 | 11/02/2002 | Customer Dispute | Pending | $10,202.00 | $0.00 | See FINRA Report |
| Barbara Susan Racan | 2655636 | 1 | 11/01/2002 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Addison Michael Sherman | 1261217 | 3 | 10/31/2002 | Customer Dispute | Denied | $18,645.00 | $0.00 | See FINRA Report |
| Daniel Joseph Stizza | 2956977 | 5 | 10/31/2002 | Customer Dispute | Settled | $9,900.00 | $0.00 | See FINRA Report |
| Patrick Concanon Doran | 2020376 | 1 | 10/31/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 10/30/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William August Cholawa | 1684119 | 1 | 10/29/2002 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Marie A Treloar | 3042205 | 2 | 10/29/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |