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 M Samuels | 1974380 | 1 | 06/04/2001 | Customer Dispute | Closed-No Action | $30,314.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Levesque | 2190648 | 4 | 06/01/2001 | Customer Dispute | Settled | $773.00 | $0.00 | See FINRA Report |
| Matthew Raymond Matuza | 2964841 | 2 | 05/30/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Clinton Cate | 3055355 | 5 | 05/30/2001 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| James J Maloney | 2984968 | 1 | 05/29/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Patrick Carle | 1420701 | 1 | 05/24/2001 | Customer Dispute | Denied | $41,460.00 | $0.00 | See FINRA Report |
| Karen Ann Verrone | 1029362 | 1 | 05/23/2001 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Jeffrey Mark Christenat | 2298832 | 1 | 05/23/2001 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Thomas Edsall Inslee | 1574345 | 1 | 05/22/2001 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| Casey Brad Barry | 2616589 | 1 | 05/22/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |