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 |
|---|---|---|---|---|---|---|---|---|
| John Christopher Gatto | 1415454 | 7 | 07/20/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 07/12/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Harold Axley | 2014364 | 2 | 07/10/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Antonio Pedro da Roza | 2087563 | 2 | 07/07/2000 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Vincent M Ambroselli | 1683521 | 5 | 07/03/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sylvia Kae Lanka-Barone | 1332874 | 3 | 06/30/2000 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| I David Plaza | 1620180 | 1 | 06/28/2000 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 06/28/2000 | Customer Dispute | Settled | $11,422.00 | $0.00 | See FINRA Report |
| John David Jawor | 2289778 | 1 | 06/27/2000 | Customer Dispute | Denied | $8,455.00 | $0.00 | See FINRA Report |
| Harry Ken Lackner | 2115244 | 2 | 06/26/2000 | Customer Dispute | Closed-No Action | $87,000.00 | $0.00 | See FINRA Report |