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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Fitzgerald Capachietti | 2410241 | 3 | 12/19/2002 | Customer Dispute | Settled | $15,305.00 | $0.00 | See FINRA Report |
| Thomas Fitzgerald Capachietti | 2410241 | 3 | 12/19/2002 | Customer Dispute | Settled | $120,600.00 | $0.00 | See FINRA Report |
| Kathryn L Wallace | 2197639 | 1 | 12/06/2002 | Customer Dispute | Settled | $9,109.44 | $0.00 | See FINRA Report |
| Peter van Kline | 716195 | 2 | 12/06/2002 | Customer Dispute | Settled | $390,079.00 | $0.00 | See FINRA Report |
| Jason Paul Demers | 2365310 | 2 | 12/05/2002 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christel K Dunn | 1614275 | 3 | 12/05/2002 | Customer Dispute | Settled | $236,809.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 12/02/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David A Paolino | 2222266 | 2 | 11/26/2002 | Customer Dispute | Settled | $105,000.00 | $0.00 | See FINRA Report |
| Joanne Virginia Graham | 1048392 | 3 | 11/25/2002 | Customer Dispute | Settled | $870,000.00 | $0.00 | See FINRA Report |
| Jeffrey Peter Levesque | 2190648 | 4 | 11/25/2002 | Customer Dispute | Settled | $219,800.00 | $0.00 | See FINRA Report |