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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Scott Hanson | 2044884 | 5 | 04/05/2001 | Customer Dispute | Withdrawn | $209,000.00 | $0.00 | See FINRA Report |
| Paul Douglas Wenstrom | 463385 | 1 | 04/04/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jose Rene Garza | 845939 | 1 | 04/03/2001 | Customer Dispute | Closed-No Action | $1,000,000.00 | $0.00 | See FINRA Report |
| Daniel Adolph Czapla | 1547687 | 2 | 04/03/2001 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Peter Scott Izzo | 2943901 | 4 | 04/02/2001 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Brian Matthew Carolan | 2992564 | 1 | 04/02/2001 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| James Savino Cappiello | 1849724 | 5 | 03/30/2001 | Customer Dispute | Settled | $5,747.48 | $0.00 | See FINRA Report |
| Douglas Henry Rivlin | 2653600 | 1 | 03/30/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Tate Yawn | 2614462 | 1 | 03/30/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Robert Pollack | 1850884 | 1 | 03/29/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |