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 |
|---|---|---|---|---|---|---|---|---|
| R Noel Bourque | 2469386 | 4 | 03/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Kenneth Humphries | 3052089 | 3 | 03/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Cary Sanfield | 719393 | 1 | 03/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arthur Alan Greenfeder | 724839 | 3 | 03/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Edward Kowalski | 2232525 | 5 | 03/27/2008 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| William J Liebowitz | 1555491 | 4 | 03/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas Alan Hopley | 2517376 | 2 | 03/26/2008 | Customer Dispute | Settled | $242,924.00 | $0.00 | See FINRA Report |
| Thomas Peter John Rosenberg | 1122939 | 2 | 03/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen E Applebaum | 3240220 | 3 | 03/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason A Curran | 4185138 | 2 | 03/26/2008 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |