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 |
|---|---|---|---|---|---|---|---|---|
| David Anthony Stevens | 1991875 | 4 | 11/09/2004 | Customer Dispute | Settled | $304,807.00 | $0.00 | See FINRA Report |
| Robert Joseph Feil | 2746174 | 1 | 11/08/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Bobbette L Horn | 2021371 | 1 | 10/27/2004 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| William J Liebowitz | 1555491 | 4 | 10/25/2004 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Caputo | 1990232 | 2 | 10/11/2004 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| I David Pelton | 1080881 | 7 | 10/08/2004 | Customer Dispute | Settled | $22,022.00 | $0.00 | See FINRA Report |
| Christopher Nicholas Russak | 2602492 | 1 | 10/05/2004 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Brian Amsler Rossano | 1617426 | 2 | 10/04/2004 | Customer Dispute | Settled | $1,053,490.00 | $0.00 | See FINRA Report |
| Michael John Northcott | 1888883 | 4 | 10/04/2004 | Customer Dispute | Settled | $1,053,490.00 | $0.00 | See FINRA Report |
| Jonathan Scott Parker | 2198407 | 2 | 09/24/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |