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 |
|---|---|---|---|---|---|---|---|---|
| Jason R Alexander | 3256371 | 1 | 10/21/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Adam S Goldman | 2077805 | 3 | 10/21/2002 | Customer Dispute | Closed-No Action | $37,707.50 | $0.00 | See FINRA Report |
| Peter Karsten Hummel | 1789177 | 5 | 10/18/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen John Picazio | 2960982 | 1 | 10/18/2002 | Customer Dispute | Closed-No Action | $27,094.30 | $0.00 | See FINRA Report |
| Evan Stuart Kendis | 2911521 | 2 | 10/16/2002 | Customer Dispute | Settled | $19,461.00 | $0.00 | See FINRA Report |
| Barbara Kinsey | 2131694 | 1 | 10/16/2002 | Customer Dispute | Settled | $6,152.75 | $0.00 | See FINRA Report |
| Juan P Rionda | 2363399 | 1 | 10/15/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Arthur Edward Rozzero | 839853 | 1 | 10/14/2002 | Customer Dispute | Denied | $170,844.00 | $0.00 | See FINRA Report |
| Paul Donald Brewer | 1885322 | 1 | 10/11/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert B Lilley | 2712243 | 1 | 10/11/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |