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 |
|---|---|---|---|---|---|---|---|---|
| Rebecca Susan Rothstein | 1666291 | 4 | 01/17/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas R Gilhuly | 2314548 | 1 | 01/17/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kenrick Anthony Whyte | 2987579 | 2 | 01/16/2002 | Customer Dispute | Pending | $194,000.00 | $0.00 | See FINRA Report |
| Timothy P Scudder | 2314524 | 1 | 01/16/2002 | Customer Dispute | Dismissed | $10,000,000.00 | $0.00 | See FINRA Report |
| Carl Joseph Guillory | 1682255 | 2 | 01/15/2002 | Customer Dispute | Award / Judgment | $360,535.00 | $90,360.00 | See FINRA Report |
| Susan Lucy Wingard | 1142296 | 1 | 01/15/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Philip Amir Filsouf | 2209710 | 3 | 01/14/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Louis Cremonni | 722469 | 4 | 01/12/2002 | Customer Dispute | Denied | $16,853.00 | $0.00 | See FINRA Report |
| Glenn Sun Choy Lau | 2591028 | 1 | 01/11/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward J Nolan | 726594 | 2 | 01/11/2002 | Customer Dispute | Closed-No Action | $132,135.00 | $0.00 | See FINRA Report |