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 |
|---|---|---|---|---|---|---|---|---|
| Joel Richard Fishkin | 2878895 | 1 | 05/07/2001 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Dexter M Davis | 1705746 | 3 | 05/01/2001 | Customer Dispute | Settled | $83,000.00 | $0.00 | See FINRA Report |
| James Joseph Ertmann | 2747524 | 5 | 05/01/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Edward Kowalski | 2232525 | 5 | 04/30/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph Ertmann | 2747524 | 5 | 04/23/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph Ertmann | 2747524 | 5 | 04/23/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Edward Atut | 2659341 | 1 | 04/20/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Susan Lyle | 1980360 | 2 | 04/18/2001 | Customer Dispute | Settled | $26,437.30 | $0.00 | See FINRA Report |
| Brian T Sixt | 1439240 | 1 | 04/17/2001 | Customer Dispute | Settled | $320,000.00 | $0.00 | See FINRA Report |
| Cathy Lynn Achter | 1468255 | 1 | 04/16/2001 | Customer Dispute | Settled | $610,000.00 | $0.00 | See FINRA Report |