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 |
|---|---|---|---|---|---|---|---|---|
| Bernard George Adair | 1535429 | 9 | 05/13/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Zilkowski | 1480780 | 4 | 05/13/2004 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| William E Bottomley | 3232026 | 1 | 05/12/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Juan Antonio Braschi | 1753315 | 6 | 05/06/2004 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fredric Jan Mannheimer | 2425482 | 3 | 05/05/2004 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Francis Leo Abella | 2178797 | 1 | 05/05/2004 | Customer Dispute | Settled | $12,471.00 | $0.00 | See FINRA Report |
| Jennifer S Yoon | 3076614 | 3 | 05/04/2004 | Customer Dispute | Settled | $479,493.00 | $0.00 | See FINRA Report |
| Sylvan George Goldwert | 2518832 | 2 | 04/23/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Leo Gerald Stevenson | 2701373 | 3 | 04/19/2004 | Customer Dispute | Settled | $362,028.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 04/15/2004 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |