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 |
|---|---|---|---|---|---|---|---|---|
| Scott H Ammon | 1999703 | 2 | 07/10/2002 | Customer Dispute | Closed-No Action | $1,900,000.00 | $0.00 | See FINRA Report |
| Sylvia Kae Lanka-Barone | 1332874 | 3 | 07/10/2002 | Customer Dispute | Denied | $24,866.00 | $0.00 | See FINRA Report |
| Rebecca Susan Rothstein | 1666291 | 4 | 07/10/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David E Burns | 1392062 | 3 | 07/10/2002 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Philip Amir Filsouf | 2209710 | 3 | 07/10/2002 | Customer Dispute | Denied | $124,000.00 | $0.00 | See FINRA Report |
| John Terry Pollock | 1026079 | 1 | 07/09/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Robert Holland | 1503528 | 4 | 07/09/2002 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Robert John Schuldt | 2483353 | 5 | 07/08/2002 | Customer Dispute | Settled | $97,364.20 | $0.00 | See FINRA Report |
| Robert John Schuldt | 2483353 | 5 | 07/08/2002 | Customer Dispute | Settled | $348,588.00 | $0.00 | See FINRA Report |
| Mark Friese | 1629186 | 5 | 07/08/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |