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 |
|---|---|---|---|---|---|---|---|---|
| Seth Alyn Hillman | 4576462 | 1 | 03/13/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Johnston | 2408681 | 2 | 03/12/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Frederick Gallenstein | 1313658 | 3 | 03/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| H James Johnson | 1914453 | 1 | 03/11/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael D MacRi | 4994863 | 1 | 03/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Gregory Kauffman | 2891803 | 1 | 03/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mathieu Whittlesey | 5428288 | 1 | 03/10/2008 | Customer Dispute | Settled | $14,303.00 | $0.00 | See FINRA Report |
| Ronald Charles Senegal | 1511146 | 4 | 03/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Burchieri | 1044138 | 1 | 03/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Franklin Bass | 2206579 | 2 | 03/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |