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FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated

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.

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Displaying 3,311-3,320 out of 4,068 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Robert Mark Leidner2351585107/11/2001Customer DisputeDenied$0.00$0.00See FINRA Report
Dexter M Davis1705746307/11/2001Customer DisputeSettled$0.00$0.00See FINRA Report
Peter Thomas Johns1032813207/06/2001Customer DisputeSettled$224,680.00$0.00See FINRA Report
William Todd Wahl2116212407/05/2001Customer DisputeDenied$5,000.00$0.00See FINRA Report
Lawrence Alan Hurst1902395307/03/2001Customer DisputeSettled$960,974.00$0.00See FINRA Report
Michael A Paolone1780429307/02/2001Customer DisputeClosed-No Action$330,000.00$0.00See FINRA Report
Brian D Massingale2058470207/02/2001Customer DisputeDenied$170,000.00$0.00See FINRA Report
Brian H O'Neil871181107/02/2001Customer DisputeClosed-No Action$14,100.00$0.00See FINRA Report
Anthony Florio3083493106/28/2001Customer DisputeSettled$0.00$0.00See FINRA Report
I David Pelton1080881706/26/2001Customer DisputeSettled$0.00$0.00See FINRA Report

4,068 Results

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