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 |
|---|---|---|---|---|---|---|---|---|
| Richard Harris Einziger | 76496 | 2 | 01/20/2000 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 01/19/2000 | Customer Dispute | Settled | $24,657.30 | $0.00 | See FINRA Report |
| Eric Jon Fudala | 1386718 | 3 | 01/18/2000 | Customer Dispute | Settled | $665,160.00 | $0.00 | See FINRA Report |
| John Patrick Donnelly | 2374887 | 7 | 01/14/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Richard Orr | 2652948 | 1 | 01/13/2000 | Customer Dispute | Closed-No Action | $9,500.00 | $0.00 | See FINRA Report |
| Anna W Sielawko | 2887421 | 2 | 01/12/2000 | Customer Dispute | Closed-No Action | $92,000.00 | $0.00 | See FINRA Report |
| John Harold Matzoll | 1040371 | 3 | 01/10/2000 | Customer Dispute | Settled | $67,580.00 | $0.00 | See FINRA Report |
| Benjamin Thomas Powell | 2235095 | 1 | 01/08/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David J Sterner | 2095308 | 2 | 01/07/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sharon Bentz Mustered | 1758562 | 3 | 01/06/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |