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 |
|---|---|---|---|---|---|---|---|---|
| Faith Sophia Heeg | 1081757 | 1 | 10/16/2007 | Customer Dispute | Settled | $350,136.00 | $0.00 | See FINRA Report |
| Shubhro Bose | 3129199 | 1 | 09/20/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howard Perry Loiterstein | 1629822 | 1 | 09/13/2007 | Customer Dispute | Settled | $455,000.00 | $0.00 | See FINRA Report |
| Thomas Arthur Cutrone | 1881428 | 1 | 09/11/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John M Garner | 1051582 | 7 | 09/08/2007 | Customer Dispute | Settled | $201,855.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 08/13/2007 | Customer Dispute | Settled | $76,000.00 | $0.00 | See FINRA Report |
| Stephanie Smith Christiano | 3231436 | 1 | 07/19/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy Patrick Neary | 2629976 | 1 | 07/09/2007 | Customer Dispute | Settled | $39,622.00 | $0.00 | See FINRA Report |
| Lawrence P Cagliostro | 2605127 | 1 | 06/29/2007 | Customer Dispute | Settled | $11,235.00 | $0.00 | See FINRA Report |
| Joseph Brian Kelly | 1975762 | 4 | 06/20/2007 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |