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 |
|---|---|---|---|---|---|---|---|---|
| H William Netherton | 710952 | 4 | 11/09/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Louis Guarnieri | 1787810 | 2 | 11/05/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jon Richard Adams | 1255111 | 4 | 11/03/1999 | Customer Dispute | Settled | $27,389.20 | $0.00 | See FINRA Report |
| Norman Ralph Saiger | 1349289 | 1 | 11/01/1999 | Customer Dispute | Settled | $89,900.00 | $0.00 | See FINRA Report |
| Susan Marie Reck | 372177 | 2 | 10/28/1999 | Customer Dispute | Settled | $92,000.00 | $0.00 | See FINRA Report |
| Frederic Siyufy | 1854094 | 1 | 10/28/1999 | Customer Dispute | Denied | $170,000.00 | $0.00 | See FINRA Report |
| Robert Anthony Barbuto | 12258 | 1 | 10/25/1999 | Customer Dispute | Settled | $770.00 | $0.00 | See FINRA Report |
| Fred Gerard Lorenz | 1190922 | 2 | 10/19/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rocco Papandrea | 2057390 | 2 | 10/15/1999 | Customer Dispute | Closed-No Action | $28,308.40 | $0.00 | See FINRA Report |
| Mark Arnold Theriault | 1888502 | 4 | 10/06/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |