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 |
|---|---|---|---|---|---|---|---|---|
| Robert Jay McKiernan | 1222669 | 5 | 07/26/2001 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Bryan Glenn Luther | 2543605 | 5 | 07/25/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey James Lofgren | 1291760 | 1 | 07/20/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas Giosue Miserendino | 1344997 | 3 | 07/20/2001 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Adam D Uhlan | 1676354 | 1 | 07/13/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Dexter M Davis | 1705746 | 3 | 07/11/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Thomas Johns | 1032813 | 2 | 07/06/2001 | Customer Dispute | Settled | $224,680.00 | $0.00 | See FINRA Report |
| Lawrence Alan Hurst | 1902395 | 3 | 07/03/2001 | Customer Dispute | Settled | $960,974.00 | $0.00 | See FINRA Report |
| Anthony Florio | 3083493 | 1 | 06/28/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| I David Pelton | 1080881 | 7 | 06/26/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |