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 |
|---|---|---|---|---|---|---|---|---|
| Jimi Sidhu | 2676870 | 5 | 01/21/2005 | Customer Dispute | Settled | $63,726.50 | $0.00 | See FINRA Report |
| Steven Wayne Loyd | 2630553 | 1 | 01/13/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 01/10/2005 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Diane Marie Peterson Carter | 1240731 | 2 | 01/10/2005 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Robert Sauer | 411315 | 2 | 01/10/2005 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Michael G Ulrich | 3276494 | 4 | 12/20/2004 | Customer Dispute | Settled | $108,808.00 | $0.00 | See FINRA Report |
| John G Mizzi | 1236123 | 3 | 12/10/2004 | Customer Dispute | Settled | $131,343.00 | $0.00 | See FINRA Report |
| James Matthews Troy | 1172773 | 4 | 12/08/2004 | Customer Dispute | Settled | $404,259.00 | $0.00 | See FINRA Report |
| Kevin J Ruszkowski | 1977186 | 2 | 11/29/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adam Jesse Gurien | 2302341 | 4 | 11/18/2004 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |