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 |
|---|---|---|---|---|---|---|---|---|
| David Robert Feigelman | 1083638 | 3 | 04/14/2000 | Customer Dispute | Closed-No Action | $9,500.00 | $0.00 | See FINRA Report |
| Scott Dennis Krause | 1845575 | 3 | 04/14/2000 | Customer Dispute | Denied | $9,651.93 | $0.00 | See FINRA Report |
| Rebecca Susan Rothstein | 1666291 | 4 | 04/13/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Diane Marie Peterson Carter | 1240731 | 2 | 04/13/2000 | Customer Dispute | Closed-No Action | $10,778.00 | $0.00 | See FINRA Report |
| Bert Matthew Halliday | 1335975 | 3 | 04/05/2000 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 04/03/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Michael Ryan | 2682094 | 1 | 03/31/2000 | Customer Dispute | Pending | $20,444.00 | $0.00 | See FINRA Report |
| Richard P Tarantino | 442592 | 2 | 03/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lyndell Ray Fross | 1265077 | 1 | 03/29/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William L Mustin | 2737029 | 1 | 03/27/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |