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 |
|---|---|---|---|---|---|---|---|---|
| Andrew John Kowitski | 2035663 | 2 | 04/18/2000 | Customer Dispute | Settled | $87,164.50 | $0.00 | See FINRA Report |
| Vincent Minutillo | 1770529 | 1 | 04/18/2000 | Customer Dispute | Settled | $87,164.50 | $0.00 | See FINRA Report |
| Bert Matthew Halliday | 1335975 | 3 | 04/05/2000 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| James Patrick Bowe | 2856374 | 5 | 04/03/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lisa Kranzler Kent | 1026177 | 1 | 03/24/2000 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 03/07/2000 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Christopher P MacNamara | 2639899 | 1 | 03/06/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Keith Robert Gerard Conklin | 1546496 | 1 | 02/23/2000 | Customer Dispute | Settled | $183,273.00 | $0.00 | See FINRA Report |
| R Noel Bourque | 2469386 | 4 | 02/16/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kennon Rene McCarthy | 2663007 | 3 | 02/07/2000 | Customer Dispute | Settled | $10,179.80 | $0.00 | See FINRA Report |