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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Thomas Gonzalez | 224936 | 4 | 02/21/1995 | Customer Dispute | Settled | $1,314,000.00 | $0.00 | See FINRA Report |
| I David Pelton | 1080881 | 7 | 02/17/1995 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Eugene Richard Cunningham | 1831744 | 1 | 01/12/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Kelleher | 1059804 | 5 | 01/05/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott T Ribordy | 1588774 | 2 | 01/03/1995 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John F Curtis | 705648 | 2 | 12/15/1994 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Anthony Thomas Gonzalez | 224936 | 4 | 11/16/1994 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Vincent M Ambroselli | 1683521 | 5 | 11/04/1994 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Donald Paul McGee | 1421707 | 1 | 11/02/1994 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Andrew John Kowitski | 2035663 | 2 | 10/07/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |