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 |
|---|---|---|---|---|---|---|---|---|
| Jonathan Eric Kass | 2504000 | 2 | 10/17/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nestor J Vicknair | 2283463 | 2 | 10/17/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Richard Schrage | 1132160 | 1 | 10/13/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cheryl B McLeod | 2964852 | 1 | 10/12/2001 | Customer Dispute | Closed-No Action | $78,000.00 | $0.00 | See FINRA Report |
| Thomas Arthur Munroe | 1627192 | 1 | 10/12/2001 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Brian Amsler Rossano | 1617426 | 2 | 10/11/2001 | Customer Dispute | Closed-No Action | $195,000.00 | $0.00 | See FINRA Report |
| Frank Earl Johnson | 1947251 | 4 | 10/11/2001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Kevin Patrick Furey | 4083978 | 1 | 10/10/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew J Meyer | 2840988 | 3 | 10/09/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 10/08/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |