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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey A Snyders | 1840498 | 1 | 12/14/2001 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| John Louis Guarnieri | 1787810 | 2 | 12/05/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Clinton Cate | 3055355 | 5 | 12/04/2001 | Customer Dispute | Settled | $365,000.00 | $0.00 | See FINRA Report |
| Martin Eric Schwartz | 1185249 | 5 | 11/30/2001 | Customer Dispute | Settled | $83,000.00 | $0.00 | See FINRA Report |
| Martin Eric Schwartz | 1185249 | 5 | 11/28/2001 | Customer Dispute | Settled | $16,480.00 | $0.00 | See FINRA Report |
| Archibald Adam Walker | 1235949 | 3 | 11/27/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eyal Yaffe | 1937169 | 3 | 11/20/2001 | Customer Dispute | Settled | $475,000.00 | $0.00 | See FINRA Report |
| Damon Troy Scimemi | 2592828 | 2 | 11/20/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald A Hutson | 1391385 | 1 | 11/19/2001 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Nicholas Giosue Miserendino | 1344997 | 3 | 11/12/2001 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |