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 |
|---|---|---|---|---|---|---|---|---|
| Donald Joseph Porterfield | 1700761 | 7 | 02/01/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Joseph Stucker | 1908143 | 7 | 01/21/1999 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 01/20/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Harley Amstutz | 820127 | 1 | 01/15/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Walter Charles Szturma | 1815834 | 4 | 12/10/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick John Hoey | 247601 | 3 | 12/02/1998 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Albert W Kobular | 1241192 | 3 | 11/25/1998 | Customer Dispute | Settled | $32,547.60 | $0.00 | See FINRA Report |
| Russell Brian Winthrop | 2422635 | 1 | 11/18/1998 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| David Freeman Nevell | 2367210 | 4 | 11/03/1998 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Steven Fredrick Warch | 1344148 | 4 | 11/03/1998 | Customer Dispute | Settled | $13,073.00 | $0.00 | See FINRA Report |