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 |
|---|---|---|---|---|---|---|---|---|
| Linda S Weitz-Stone | 1143613 | 1 | 10/28/2002 | Customer Dispute | Settled | $67,693.00 | $0.00 | See FINRA Report |
| Thomas Fitzgerald Capachietti | 2410241 | 3 | 10/28/2002 | Customer Dispute | Settled | $65,154.00 | $0.00 | See FINRA Report |
| Terry Alexander Wheeler | 2778202 | 1 | 10/25/2002 | Customer Dispute | Settled | $514,000.00 | $0.00 | See FINRA Report |
| Michael John Tortora | 2338870 | 1 | 10/25/2002 | Customer Dispute | Award / Judgment | $1,500,000.00 | $39,000.00 | See FINRA Report |
| Gerald Joseph Licari | 1524742 | 3 | 10/22/2002 | Customer Dispute | Closed-No Action | $62,000.00 | $0.00 | See FINRA Report |
| Lisa C La Vecchia | 1071263 | 1 | 10/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| C A Thames | 1613012 | 1 | 10/21/2002 | Customer Dispute | Closed-No Action | $165,000.00 | $0.00 | See FINRA Report |
| William Lawrence Cain | 1222564 | 2 | 10/21/2002 | Customer Dispute | Denied | $75,526.00 | $0.00 | See FINRA Report |
| Emanuel Christian Blessey | 2590911 | 2 | 10/21/2002 | Customer Dispute | Denied | $27,000.00 | $0.00 | See FINRA Report |
| Scott David Curtis | 1235245 | 4 | 10/21/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |