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 |
|---|---|---|---|---|---|---|---|---|
| Michael Earl Brennan | 1100991 | 1 | 03/05/2001 | Customer Dispute | Settled | $75,126.80 | $0.00 | See FINRA Report |
| Craig Richard Harris | 2314062 | 1 | 03/05/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Dennis D Dobrosky | 1053258 | 1 | 03/05/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gregory Grayson Burns | 2191167 | 2 | 03/02/2001 | Customer Dispute | Closed-No Action | $33,400.00 | $0.00 | See FINRA Report |
| Robert Colgan Dyer | 2917796 | 2 | 02/26/2001 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| James Joseph Ertmann | 2747524 | 5 | 02/26/2001 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Todd Yonally | 1423763 | 5 | 02/23/2001 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Seth Alan Mulrooney | 3140806 | 1 | 02/23/2001 | Customer Dispute | Closed-No Action | $170,000.00 | $0.00 | See FINRA Report |
| John Clinton Cate | 3055355 | 5 | 02/21/2001 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Kevin Charles McMullen | 2260657 | 1 | 02/20/2001 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |