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 |
|---|---|---|---|---|---|---|---|---|
| Charles William Freeman | 1012796 | 1 | 02/06/2001 | Customer Dispute | Settled | $19,002.00 | $0.00 | See FINRA Report |
| Carol L Heil | 2812271 | 1 | 02/05/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Barry Steven Marks | 704929 | 3 | 02/05/2001 | Customer Dispute | Settled | $81,895.10 | $0.00 | See FINRA Report |
| Nicolas B Castaneda | 2931902 | 6 | 02/04/2001 | Customer Dispute | Settled | $267,457.00 | $0.00 | See FINRA Report |
| Michael Patrick Licari | 1106018 | 3 | 02/01/2001 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Daniel R Ellison | 2320115 | 6 | 01/25/2001 | Customer Dispute | Settled | $10,861.00 | $0.00 | See FINRA Report |
| Chris T Economou | 1358631 | 1 | 01/22/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Todd Wahl | 2116212 | 4 | 01/22/2001 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Brian D Massingale | 2058470 | 2 | 01/22/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig F Zumpano | 2885932 | 1 | 01/02/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |