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 |
|---|---|---|---|---|---|---|---|---|
| Erik C Scaranuzzo | 4199649 | 1 | 06/22/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert John Schuldt | 2483353 | 5 | 06/21/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Peter Thomas Torchia | 807331 | 1 | 06/18/2001 | Customer Dispute | Closed-No Action | $25,000.00 | $0.00 | See FINRA Report |
| Myron David Stayman | 1391422 | 6 | 06/14/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Hardie | 2788646 | 2 | 06/14/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Jon Tompkins | 1213280 | 3 | 06/13/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Cecil Beach | 2074390 | 2 | 06/11/2001 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 06/08/2001 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| John Harold Axley | 2014364 | 2 | 06/07/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Terence J Creighton | 733174 | 3 | 06/07/2001 | Customer Dispute | Settled | $1,700,000.00 | $0.00 | See FINRA Report |