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 |
|---|---|---|---|---|---|---|---|---|
| Steven W Kelley | 2310805 | 3 | 03/20/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 03/18/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Lew Warren | 1455202 | 1 | 03/18/2002 | Customer Dispute | Withdrawn | $320,000.00 | $0.00 | See FINRA Report |
| Matthew Kucera | 1086604 | 5 | 03/18/2002 | Customer Dispute | Denied | $11,816.00 | $0.00 | See FINRA Report |
| Salvatore Anthony Tiano | 1867558 | 3 | 03/15/2002 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| Francesco Quacinella | 1235195 | 1 | 03/14/2002 | Customer Dispute | Settled | $1,000.00 | $0.00 | See FINRA Report |
| Martin Wayne Pate | 2800238 | 1 | 03/13/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 03/12/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bryan Glenn Luther | 2543605 | 5 | 03/12/2002 | Customer Dispute | Closed-No Action | $131,481.00 | $0.00 | See FINRA Report |
| Daniel John Moran | 1864762 | 5 | 03/12/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |