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 |
|---|---|---|---|---|---|---|---|---|
| C L Taylor | 2355696 | 2 | 09/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Roosevelt Newton | 3200779 | 1 | 09/29/2000 | Customer Dispute | Closed-No Action | $230,000.00 | $0.00 | See FINRA Report |
| William Kaiser Fischer | 2538145 | 1 | 09/27/2000 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 09/13/2000 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Bruce Bryant Tonascia | 1252067 | 1 | 09/11/2000 | Customer Dispute | Withdrawn | $135,682.00 | $0.00 | See FINRA Report |
| Gerardo A Castro | 2042384 | 2 | 09/11/2000 | Customer Dispute | Settled | $513,000.00 | $0.00 | See FINRA Report |
| Daniel J Memo | 3079244 | 6 | 09/07/2000 | Customer Dispute | Denied | $116,478.00 | $0.00 | See FINRA Report |
| Steven Fredrick Warch | 1344148 | 4 | 09/06/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Beckwith | 1191210 | 1 | 09/02/2000 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Anthony Perrotta | 2955528 | 1 | 09/01/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |