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 |
|---|---|---|---|---|---|---|---|---|
| Cathy Lynn Achter | 1468255 | 1 | 04/16/2001 | Customer Dispute | Settled | $610,000.00 | $0.00 | See FINRA Report |
| Ralph Michael Byer | 1038411 | 7 | 04/16/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael A Paolone | 1780429 | 3 | 04/13/2001 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Sharon Joan Steiner | 1733744 | 2 | 04/11/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Danielle Mariette Prunier | 2551656 | 2 | 04/10/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John K Heisel | 1080321 | 2 | 04/10/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Maria D Colucci | 1889819 | 1 | 04/09/2001 | Customer Dispute | Closed-No Action | $6,681.25 | $0.00 | See FINRA Report |
| Scott Dennis Krause | 1845575 | 3 | 04/09/2001 | Customer Dispute | Closed-No Action | $1,904,740.00 | $0.00 | See FINRA Report |
| William H Sisco | 1685781 | 1 | 04/06/2001 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Bryan Glenn Luther | 2543605 | 5 | 04/06/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |