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 |
|---|---|---|---|---|---|---|---|---|
| William B Stevenson | 1217172 | 6 | 04/18/2005 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Wynne Patrick Murphy | 1163570 | 3 | 04/01/2005 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Michael A Paolone | 1780429 | 3 | 03/31/2005 | Customer Dispute | Settled | $5,941.95 | $0.00 | See FINRA Report |
| Yogesh P Kamdar | 2001634 | 2 | 03/16/2005 | Customer Dispute | Settled | $107,000.00 | $0.00 | See FINRA Report |
| Gary Eugene Morgan | 1517009 | 5 | 03/04/2005 | Customer Dispute | Settled | $5,351.00 | $0.00 | See FINRA Report |
| Michael Craig Ribich | 4472460 | 4 | 02/28/2005 | Customer Dispute | Settled | $7,863.00 | $0.00 | See FINRA Report |
| Jimi Sidhu | 2676870 | 5 | 02/22/2005 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Eric Flores Gonzales | 3118485 | 2 | 02/07/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Brien Shea | 1703348 | 1 | 02/03/2005 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Vincent M Ambroselli | 1683521 | 5 | 02/01/2005 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |