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 |
|---|---|---|---|---|---|---|---|---|
| Michael Patrick Truitt | 1201845 | 2 | 08/01/2001 | Customer Dispute | Settled | $74,029.00 | $0.00 | See FINRA Report |
| James H Flannery | 2402135 | 2 | 07/31/2001 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 07/26/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Jay McKiernan | 1222669 | 5 | 07/26/2001 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jared Blair Smith | 2957141 | 1 | 07/25/2001 | Customer Dispute | Denied | $5,400.00 | $0.00 | See FINRA Report |
| Bryan Glenn Luther | 2543605 | 5 | 07/25/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James Lofgren | 1291760 | 1 | 07/20/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas Giosue Miserendino | 1344997 | 3 | 07/20/2001 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Annterese Toth | 2558291 | 4 | 07/16/2001 | Customer Dispute | Denied | $14,917.00 | $0.00 | See FINRA Report |
| Adam D Uhlan | 1676354 | 1 | 07/13/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |