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 Pinkney Caskey | 2685950 | 1 | 09/10/2004 | Customer Dispute | Settled | $122,108.00 | $0.00 | See FINRA Report |
| Frederick S Fox | 212190 | 3 | 08/24/2004 | Customer Dispute | Settled | $36,301.00 | $0.00 | See FINRA Report |
| Anthony Todd Watts | 2009984 | 5 | 08/20/2004 | Customer Dispute | Settled | $32,779.00 | $0.00 | See FINRA Report |
| Walter Charles Szturma | 1815834 | 4 | 08/17/2004 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Arthur Dudley Wampler | 1076380 | 1 | 08/09/2004 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Mary Lou Zangerle | 475819 | 1 | 08/05/2004 | Customer Dispute | Settled | $33,751.00 | $0.00 | See FINRA Report |
| Michael Benjamin Provenz | 2270205 | 3 | 07/19/2004 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Anthony Diblasi | 2801915 | 3 | 06/29/2004 | Customer Dispute | Settled | $82,741.00 | $0.00 | See FINRA Report |
| Byron Alexander Meads | 872750 | 1 | 06/28/2004 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Michael Robert Ford | 1361459 | 1 | 06/24/2004 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |