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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Todd Yonally | 1423763 | 5 | 08/31/2000 | Customer Dispute | Denied | $23,505.40 | $0.00 | See FINRA Report |
| Adam S Goldman | 2077805 | 3 | 08/30/2000 | Customer Dispute | Settled | $83,235.00 | $0.00 | See FINRA Report |
| Nicholas Gus Anthony | 1637856 | 1 | 08/22/2000 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Edward Frank Keyes | 2518312 | 2 | 08/17/2000 | Customer Dispute | Closed-No Action | $17,739.00 | $0.00 | See FINRA Report |
| Frederick Joseph Stucker | 1908143 | 7 | 08/15/2000 | Customer Dispute | Settled | $295,311.00 | $0.00 | See FINRA Report |
| Adam Jesse Gurien | 2302341 | 4 | 08/14/2000 | Customer Dispute | Denied | $14,350.00 | $0.00 | See FINRA Report |
| Nicholas Andrew Denucci | 1835469 | 4 | 08/09/2000 | Customer Dispute | Award / Judgment | $140,000.00 | $72,000.00 | See FINRA Report |
| David Anthony Stevens | 1991875 | 4 | 08/01/2000 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Marty Lee Mitts | 2041879 | 1 | 07/26/2000 | Customer Dispute | Settled | $5,776.00 | $0.00 | See FINRA Report |
| Richard Louis Neal | 859516 | 1 | 07/21/2000 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |