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 |
|---|---|---|---|---|---|---|---|---|
| Joseph C Dimattina | 2194369 | 1 | 01/15/1999 | Customer Dispute | Denied | $6,374.99 | $0.00 | See FINRA Report |
| William B Stevenson | 1217172 | 6 | 12/15/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Moskowitz | 1518377 | 2 | 12/14/1998 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Walter Charles Szturma | 1815834 | 4 | 12/10/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary George Peirce | 2098729 | 3 | 12/03/1998 | Customer Dispute | Denied | $14,876.00 | $0.00 | See FINRA Report |
| Frederick John Hoey | 247601 | 3 | 12/02/1998 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Mark Robert Varo | 2296395 | 1 | 12/01/1998 | Customer Dispute | Denied | $27,098.00 | $0.00 | See FINRA Report |
| Albert W Kobular | 1241192 | 3 | 11/25/1998 | Customer Dispute | Settled | $32,547.60 | $0.00 | See FINRA Report |
| Thomas Matthew Caputo | 2078206 | 1 | 11/20/1998 | Customer Dispute | Denied | $14,118.00 | $0.00 | See FINRA Report |
| Russell Brian Winthrop | 2422635 | 1 | 11/18/1998 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |