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 C Wilt | 1849007 | 6 | 12/17/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| H Stephen Erik Schloss | 2298793 | 2 | 11/30/1999 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Steven Jay Ross | 1455304 | 2 | 11/25/1999 | Customer Dispute | Settled | $290,000.00 | $0.00 | See FINRA Report |
| Kevin Wayne Niceley | 1445704 | 3 | 11/22/1999 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Mark Friese | 1629186 | 5 | 11/22/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Dileonardo | 2009596 | 5 | 11/22/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Johnson | 1344099 | 1 | 11/19/1999 | Customer Dispute | Settled | $12,500.00 | $0.00 | See FINRA Report |
| Michael D Sweeney | 1068756 | 2 | 11/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Edgar Voysey | 2209563 | 3 | 11/12/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew R Wilson | 2619915 | 1 | 11/10/1999 | Customer Dispute | Closed-No Action | $11,000.00 | $0.00 | See FINRA Report |