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 |
|---|---|---|---|---|---|---|---|---|
| Michael Bruce Passeroff | 3176333 | 1 | 06/16/2003 | Customer Dispute | Settled | $47,388.00 | $0.00 | See FINRA Report |
| J Kevin Wertz | 849532 | 1 | 06/02/2003 | Customer Dispute | Settled | $143,000.00 | $0.00 | See FINRA Report |
| Edward J Nolan | 726594 | 2 | 06/02/2003 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Scot Thomas Benefiel | 1968666 | 2 | 06/02/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Terry B Fuerst | 3233526 | 1 | 05/30/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| William Marcus Beck | 724666 | 1 | 05/27/2003 | Customer Dispute | Settled | $3,147,590.00 | $0.00 | See FINRA Report |
| A K Roberson | 2298900 | 3 | 05/27/2003 | Customer Dispute | Settled | $81,021.00 | $0.00 | See FINRA Report |
| Alberto Hamonet | 3077774 | 1 | 05/05/2003 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| David Stallman | 1758559 | 4 | 04/28/2003 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| William R Meagher | 1096339 | 1 | 04/15/2003 | Customer Dispute | Settled | $36,500.00 | $0.00 | See FINRA Report |