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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Ralph Chiarantona | 1738165 | 4 | 10/08/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Francis Friel | 1371900 | 2 | 10/05/2001 | Customer Dispute | Denied | $2,000,000.00 | $0.00 | See FINRA Report |
| Jose Luis Lequerica | 1514165 | 3 | 10/01/2001 | Customer Dispute | Denied | $1,100,000.00 | $0.00 | See FINRA Report |
| Gregory Michael Baker | 1061762 | 1 | 10/01/2001 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| John Gaynor Walsh | 1042029 | 4 | 10/01/2001 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| William August Carmody | 1961985 | 1 | 09/27/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roy Borrego | 1630846 | 2 | 09/26/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher S Downs | 2327623 | 2 | 09/25/2001 | Customer Dispute | Closed-No Action | $60,208.70 | $0.00 | See FINRA Report |
| Michael Patrick Licari | 1106018 | 3 | 09/24/2001 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Lela Suzanne Bayley | 1216003 | 2 | 09/22/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |