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 |
|---|---|---|---|---|---|---|---|---|
| Donny Hal Rye | 2714185 | 1 | 09/03/1999 | Customer Dispute | Settled | $6,749.96 | $0.00 | See FINRA Report |
| Fernando Gandara | 2869767 | 3 | 09/01/1999 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Paul John Lukas | 1226549 | 1 | 09/01/1999 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Albert W Kobular | 1241192 | 3 | 08/25/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Damian Holsinger | 1602826 | 1 | 08/20/1999 | Customer Dispute | Denied | $43,336.00 | $0.00 | See FINRA Report |
| George Thomas Haskins | 2469199 | 1 | 08/19/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Violet Lee | 2279257 | 2 | 08/16/1999 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Bryan Lamar Paparella | 2926631 | 1 | 08/11/1999 | Customer Dispute | Denied | $8,999.00 | $0.00 | See FINRA Report |
| James Heron Collins | 719354 | 2 | 07/29/1999 | Customer Dispute | Settled | $6,433.02 | $0.00 | See FINRA Report |
| John Joseph Brienza | 1652520 | 5 | 07/12/1999 | Customer Dispute | Award / Judgment | $800,000.00 | $42,524.80 | See FINRA Report |