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 |
|---|---|---|---|---|---|---|---|---|
| Adam S Goldman | 2077805 | 3 | 08/30/2000 | Customer Dispute | Settled | $83,235.00 | $0.00 | See FINRA Report |
| Nicholas Gus Anthony | 1637856 | 1 | 08/22/2000 | Customer Dispute | Settled | $13,000.00 | $0.00 | See FINRA Report |
| Frederick Joseph Stucker | 1908143 | 7 | 08/15/2000 | Customer Dispute | Settled | $295,311.00 | $0.00 | See FINRA Report |
| David Anthony Stevens | 1991875 | 4 | 08/01/2000 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Marty Lee Mitts | 2041879 | 1 | 07/26/2000 | Customer Dispute | Settled | $5,776.00 | $0.00 | See FINRA Report |
| Richard Louis Neal | 859516 | 1 | 07/21/2000 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| John Christopher Gatto | 1415454 | 7 | 07/20/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 07/12/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Antonio Pedro da Roza | 2087563 | 2 | 07/07/2000 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Vincent M Ambroselli | 1683521 | 5 | 07/03/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |