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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Igor Markow | 2098614 | 3 | 04/23/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Martin Peter Gregor | 1381733 | 1 | 04/22/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Steven Bruce Miller | 1047362 | 2 | 04/22/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 04/19/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Paul Demers | 2365310 | 2 | 04/18/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 04/18/2002 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Stephen E Applebaum | 3240220 | 3 | 04/18/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Jay McKiernan | 1222669 | 5 | 04/17/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel John Moran | 1864762 | 5 | 04/16/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John J Gallagher | 1471765 | 1 | 04/15/2002 | Customer Dispute | Denied | $33,438.20 | $0.00 | See FINRA Report |