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 |
|---|---|---|---|---|---|---|---|---|
| Carol L Heil | 2812271 | 1 | 02/05/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Barry Steven Marks | 704929 | 3 | 02/05/2001 | Customer Dispute | Settled | $81,895.10 | $0.00 | See FINRA Report |
| Nicolas B Castaneda | 2931902 | 6 | 02/04/2001 | Customer Dispute | Settled | $267,457.00 | $0.00 | See FINRA Report |
| D. Scott Scott Wisman | 1085875 | 3 | 02/01/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Licari | 1106018 | 3 | 02/01/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| David Stephen Jancisin | 841868 | 3 | 02/01/2001 | Customer Dispute | Closed-No Action | $239,463.00 | $0.00 | See FINRA Report |
| Sheila Lynn Carlson | 3094999 | 4 | 01/29/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sheila Lynn Carlson | 3094999 | 4 | 01/29/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John James Forster | 1303832 | 6 | 01/29/2001 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Adam Jesse Gurien | 2302341 | 4 | 01/29/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |