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 |
|---|---|---|---|---|---|---|---|---|
| Robin Marie Dziuba | 1268152 | 1 | 11/13/2001 | Customer Dispute | Closed-No Action | $145,000.00 | $0.00 | See FINRA Report |
| Nicholas Giosue Miserendino | 1344997 | 3 | 11/12/2001 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Sheena M McCall | 812914 | 2 | 11/11/2001 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Richard Merle Flack | 1244315 | 3 | 11/09/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 11/08/2001 | Customer Dispute | Award / Judgment | $200,000.00 | $0.00 | See FINRA Report |
| Fredric Jan Mannheimer | 2425482 | 3 | 11/07/2001 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Edward A Conklin | 2134502 | 1 | 11/07/2001 | Customer Dispute | Settled | $84,710.00 | $0.00 | See FINRA Report |
| Edward Frederick Gallenstein | 1313658 | 3 | 11/07/2001 | Customer Dispute | Closed-No Action | $9,762.38 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 11/06/2001 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Lisa Ann Remack | 1364681 | 1 | 11/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |