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 Joseph Valdes | 1412990 | 14 | 04/18/2002 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Stephen E Applebaum | 3240220 | 3 | 04/18/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jerry Scott Brown | 1676362 | 4 | 04/14/2002 | Customer Dispute | Settled | $24,493.20 | $0.00 | See FINRA Report |
| R T Krueger | 1200452 | 1 | 04/14/2002 | Customer Dispute | Settled | $24,493.20 | $0.00 | See FINRA Report |
| Jay P Kirkpatrick | 2779000 | 1 | 04/09/2002 | Customer Dispute | Settled | $10,610.00 | $0.00 | See FINRA Report |
| Andrew J Meyer | 2840988 | 3 | 04/09/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Arthur Gingerich | 708003 | 3 | 03/29/2002 | Customer Dispute | Settled | $380,000.00 | $0.00 | See FINRA Report |
| Ronald Lee Riehs | 2095247 | 1 | 03/26/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael J Bianco | 1711357 | 1 | 03/26/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Salvatore Anthony Tiano | 1867558 | 3 | 03/15/2002 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |