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 |
|---|---|---|---|---|---|---|---|---|
| Vincent M Ambroselli | 1683521 | 5 | 08/07/2002 | Customer Dispute | Settled | $358,000.00 | $0.00 | See FINRA Report |
| David Anthony Stevens | 1991875 | 4 | 08/07/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Phillip Terry Gross | 806167 | 1 | 08/05/2002 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Susan Shojashafti Sadr | 3054685 | 1 | 08/05/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Myron David Stayman | 1391422 | 6 | 08/05/2002 | Customer Dispute | Closed-No Action | $110,000.00 | $0.00 | See FINRA Report |
| Jonathan Miles Headley | 1160009 | 4 | 07/31/2002 | Customer Dispute | Denied | $77,000.00 | $0.00 | See FINRA Report |
| Richard Stephen Pluta | 1232948 | 4 | 07/29/2002 | Customer Dispute | Closed-No Action | $186,557.00 | $0.00 | See FINRA Report |
| Stephen Marchelo Medina | 2614773 | 6 | 07/26/2002 | Customer Dispute | Award / Judgment | $144,540.00 | $43,394.00 | See FINRA Report |
| Nathan David Marsden | 2322412 | 2 | 07/25/2002 | Customer Dispute | Award / Judgment | $50,000.00 | $5,500.00 | See FINRA Report |
| Robert Jay McKiernan | 1222669 | 5 | 07/23/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |