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 |
|---|---|---|---|---|---|---|---|---|
| Stephen J Hollomon | 2562020 | 3 | 03/21/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter A Rohr | 1691670 | 1 | 03/21/2001 | Customer Dispute | Closed-No Action | $37,500.00 | $0.00 | See FINRA Report |
| Timothy M Phenecie | 2861904 | 1 | 03/20/2001 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Renee Lee Bruggeman | 2256423 | 1 | 03/20/2001 | Customer Dispute | Settled | $6,543.25 | $0.00 | See FINRA Report |
| Michael Miser | 2693021 | 2 | 03/20/2001 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Stephen Daniel Polin | 2860574 | 5 | 03/20/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Allen Brady | 849289 | 2 | 03/19/2001 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| David Stevenson Burlin | 1808618 | 2 | 03/19/2001 | Customer Dispute | Closed-No Action | $5,019.01 | $0.00 | See FINRA Report |
| Steven Marc Nagel | 2438168 | 1 | 03/19/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Angelo Amirante | 2700763 | 2 | 03/16/2001 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |