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 Richard Penton | 2541656 | 2 | 03/11/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sandra Isabel Liotta | 1455334 | 1 | 03/07/2002 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| John Patrick Donnelly | 2374887 | 7 | 03/06/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Michael Nowak | 707792 | 3 | 03/05/2002 | Customer Dispute | Closed-No Action | $140,000.00 | $0.00 | See FINRA Report |
| Perry S Richards | 2150605 | 1 | 03/04/2002 | Customer Dispute | Settled | $480,000.00 | $0.00 | See FINRA Report |
| Branden Todd Brooks | 2204612 | 1 | 02/26/2002 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Christopher E Hochuli | 2730364 | 1 | 02/25/2002 | Customer Dispute | Award / Judgment | $2,535,220.00 | $774,000.00 | See FINRA Report |
| Stephen J Hollomon | 2562020 | 3 | 02/22/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 02/19/2002 | Customer Dispute | Settled | $515,000.00 | $0.00 | See FINRA Report |
| Richard Baer | 1667931 | 5 | 02/19/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |