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 |
|---|---|---|---|---|---|---|---|---|
| Laurette Maxine Wynn | 1471302 | 4 | 11/15/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 11/11/2002 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| David G Dellinger | 2871747 | 1 | 11/08/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Heron Collins | 719354 | 2 | 11/08/2002 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Barbara Susan Racan | 2655636 | 1 | 11/01/2002 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Daniel Joseph Stizza | 2956977 | 5 | 10/31/2002 | Customer Dispute | Settled | $9,900.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 10/30/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Linda S Weitz-Stone | 1143613 | 1 | 10/28/2002 | Customer Dispute | Settled | $67,693.00 | $0.00 | See FINRA Report |
| Thomas Fitzgerald Capachietti | 2410241 | 3 | 10/28/2002 | Customer Dispute | Settled | $65,154.00 | $0.00 | See FINRA Report |
| Terry Alexander Wheeler | 2778202 | 1 | 10/25/2002 | Customer Dispute | Settled | $514,000.00 | $0.00 | See FINRA Report |