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 |
|---|---|---|---|---|---|---|---|---|
| Steven Thomas Hynson | 6174228 | 1 | 12/15/2016 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Marlon Varsace | 4768670 | 1 | 12/14/2016 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Brian Paul Klein | 3153347 | 1 | 12/13/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nancy Jo Marciniak | 1812013 | 3 | 12/12/2016 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| James M Stapleton | 5274540 | 1 | 12/12/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shubina Mathur | 4112467 | 2 | 12/02/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael J Fontenot | 2398954 | 1 | 12/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Louis Dimattio | 2044457 | 2 | 11/18/2016 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| David Brian Shoaff | 5424811 | 2 | 11/15/2016 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Christopher George Falconer | 1674702 | 1 | 11/14/2016 | Customer Dispute | Denied | $52,417.80 | $0.00 | See FINRA Report |