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 |
---|---|---|---|---|---|---|---|---|
Robert Mark Leidner | 2351585 | 1 | 07/11/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
Dexter M Davis | 1705746 | 3 | 07/11/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Peter Thomas Johns | 1032813 | 2 | 07/06/2001 | Customer Dispute | Settled | $224,680.00 | $0.00 | See FINRA Report |
William Todd Wahl | 2116212 | 4 | 07/05/2001 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
Lawrence Alan Hurst | 1902395 | 3 | 07/03/2001 | Customer Dispute | Settled | $960,974.00 | $0.00 | See FINRA Report |
Michael A Paolone | 1780429 | 3 | 07/02/2001 | Customer Dispute | Closed-No Action | $330,000.00 | $0.00 | See FINRA Report |
Brian D Massingale | 2058470 | 2 | 07/02/2001 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
Brian H O'Neil | 871181 | 1 | 07/02/2001 | Customer Dispute | Closed-No Action | $14,100.00 | $0.00 | See FINRA Report |
Anthony Florio | 3083493 | 1 | 06/28/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
I David Pelton | 1080881 | 7 | 06/26/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |