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 |
|---|---|---|---|---|---|---|---|---|
| Nicole Rutigliano | 2664552 | 2 | 02/24/2006 | Customer Dispute | Settled | $172,950.00 | $0.00 | See FINRA Report |
| Nicole Rutigliano | 2664552 | 2 | 02/20/2006 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Milton Ken Tanaka | 2499204 | 2 | 02/14/2006 | Customer Dispute | Settled | $36,240.90 | $0.00 | See FINRA Report |
| E T Holder | 1374010 | 6 | 01/30/2006 | Customer Dispute | Settled | $326,000.00 | $0.00 | See FINRA Report |
| Michael J Spellman | 3238703 | 1 | 01/24/2006 | Customer Dispute | Settled | $28,567.00 | $0.00 | See FINRA Report |
| Ronald Arthur Slevin | 500506 | 7 | 01/19/2006 | Customer Dispute | Settled | $17,000.00 | $0.00 | See FINRA Report |
| Lisa Virginia Kautz | 3171665 | 1 | 01/04/2006 | Customer Dispute | Settled | $12,400.00 | $0.00 | See FINRA Report |
| Dathan Belanger | 3265907 | 1 | 12/07/2005 | Customer Dispute | Settled | $14,664.00 | $0.00 | See FINRA Report |
| Rufus Alston Roberts | 2134494 | 1 | 11/09/2005 | Customer Dispute | Settled | $31,203.60 | $0.00 | See FINRA Report |
| Lori M Wiegand | 2318358 | 2 | 10/11/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |