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 |
|---|---|---|---|---|---|---|---|---|
| Lambros Violaris | 2264340 | 2 | 04/30/2002 | Customer Dispute | Denied | $78,838.00 | $0.00 | See FINRA Report |
| Frank Earl Johnson | 1947251 | 4 | 04/29/2002 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Anthony V Provenzano | 1264898 | 2 | 04/29/2002 | Customer Dispute | Closed-No Action | $350,000.00 | $0.00 | See FINRA Report |
| Stephen Paul Lamb | 1287290 | 2 | 04/25/2002 | Customer Dispute | Award / Judgment | $141,563.00 | $0.00 | See FINRA Report |
| Scott Alan Devens | 3013405 | 2 | 04/25/2002 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 04/24/2002 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Albert Dobrushkin | 1455793 | 2 | 04/24/2002 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Caputo | 1990232 | 2 | 04/23/2002 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Deborah Wilsker Briskin | 1252096 | 3 | 04/23/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roger Joseph Fox | 806756 | 3 | 04/23/2002 | Customer Dispute | Denied | $32,000.00 | $0.00 | See FINRA Report |