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 |
|---|---|---|---|---|---|---|---|---|
| David Stuart Leiman | 722453 | 1 | 08/20/2002 | Customer Dispute | Closed-No Action | $885,296.00 | $0.00 | See FINRA Report |
| Peter John Lappin | 2548298 | 1 | 08/19/2002 | Customer Dispute | Closed-No Action | $220,000.00 | $0.00 | See FINRA Report |
| Lauren L Fritz Mariner | 4216765 | 1 | 08/19/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ken Gordon Secemski | 2621644 | 2 | 08/15/2002 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Robert Jay McKiernan | 1222669 | 5 | 08/15/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Peter J Calleri | 2283479 | 1 | 08/14/2002 | Customer Dispute | Closed-No Action | $230,000.00 | $0.00 | See FINRA Report |
| Kenneth Paul Keenan | 2416461 | 1 | 08/13/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Dwight Zellner | 2363265 | 1 | 08/13/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Merle Flack | 1244315 | 3 | 08/12/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Michael Nowak | 707792 | 3 | 08/12/2002 | Customer Dispute | Denied | $125,000.00 | $0.00 | See FINRA Report |