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 |
|---|---|---|---|---|---|---|---|---|
| Francesco Quacinella | 1235195 | 1 | 03/14/2002 | Customer Dispute | Settled | $1,000.00 | $0.00 | See FINRA Report |
| Perry S Richards | 2150605 | 1 | 03/04/2002 | Customer Dispute | Settled | $480,000.00 | $0.00 | See FINRA Report |
| Alvaro Galvan Gonzalez | 1462035 | 5 | 02/19/2002 | Customer Dispute | Settled | $515,000.00 | $0.00 | See FINRA Report |
| Richard William Post | 2474052 | 1 | 02/19/2002 | Customer Dispute | Settled | $245,730.00 | $0.00 | See FINRA Report |
| Frank Earl Johnson | 1947251 | 4 | 02/14/2002 | Customer Dispute | Settled | $96,000.00 | $0.00 | See FINRA Report |
| Andrew J Meyer | 2840988 | 3 | 02/13/2002 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Sun H Lee | 2834938 | 2 | 02/07/2002 | Customer Dispute | Settled | $132,500.00 | $0.00 | See FINRA Report |
| Karen L Sennes | 1371279 | 1 | 02/01/2002 | Customer Dispute | Settled | $93,000.00 | $0.00 | See FINRA Report |
| Thomas Mark Tyndorf | 2092059 | 2 | 01/31/2002 | Customer Dispute | Settled | $388,077.00 | $0.00 | See FINRA Report |
| Rebecca Susan Rothstein | 1666291 | 4 | 01/17/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |