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 Norbert Moskal | 817800 | 2 | 02/16/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sylvan George Goldwert | 2518832 | 2 | 02/16/2001 | Customer Dispute | Closed-No Action | $8,829.85 | $0.00 | See FINRA Report |
| Mark Alan Battaglia | 1618389 | 3 | 02/13/2001 | Customer Dispute | Denied | $128,000.00 | $0.00 | See FINRA Report |
| Michael John Northcott | 1888883 | 4 | 02/13/2001 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Nicholas J Downey | 2844670 | 1 | 02/13/2001 | Customer Dispute | Closed-No Action | $65,000.00 | $0.00 | See FINRA Report |
| Stuart Camden Hall | 2577241 | 1 | 02/12/2001 | Customer Dispute | Award / Judgment | $246,166.00 | $30,611.00 | See FINRA Report |
| Monica Louise Ely | 1221278 | 1 | 02/12/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sergio Xavier Galindo | 2688993 | 1 | 02/07/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Aubrey Sapp | 2464496 | 2 | 02/07/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles William Freeman | 1012796 | 1 | 02/06/2001 | Customer Dispute | Settled | $19,002.00 | $0.00 | See FINRA Report |