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 |
|---|---|---|---|---|---|---|---|---|
| Sean Robert Waltz | 2335889 | 2 | 11/01/1994 | Customer Dispute | Award / Judgment | $7,010.85 | $4,612.50 | See FINRA Report |
| Andrew John Kowitski | 2035663 | 2 | 10/07/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David E Burns | 1392062 | 3 | 09/21/1994 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Curtis Charles Miller | 1402739 | 2 | 09/13/1994 | Customer Dispute | Settled | $19,371.90 | $0.00 | See FINRA Report |
| Wayne Sammartino | 1981842 | 3 | 09/02/1994 | Customer Dispute | Award / Judgment | $880.00 | $879.38 | See FINRA Report |
| Lawrence P de Santis | 1271545 | 2 | 08/23/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Kahn | 2072427 | 7 | 08/16/1994 | Customer Dispute | Settled | $112,436.00 | $0.00 | See FINRA Report |
| Michael Joseph Kelleher | 1059804 | 5 | 08/16/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Seth Kampf | 826362 | 3 | 07/26/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary Charles Cranford | 1363063 | 3 | 07/25/1994 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |