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 |
|---|---|---|---|---|---|---|---|---|
| Timothy R Cass | 705999 | 1 | 09/30/1985 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Dale Koblenzer | 835627 | 1 | 06/21/1985 | Customer Dispute | Settled | $441,046.00 | $0.00 | See FINRA Report |
| Kevin Walter Kolmer | 832957 | 1 | 03/01/1985 | Customer Dispute | Settled | $57,713.10 | $0.00 | See FINRA Report |
| Albert F Schreck | 719389 | 2 | 12/07/1982 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Bott | 810528 | 1 | 11/03/1981 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Irwin D Wolf | 827681 | 1 | 09/01/1981 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Derek Kingshill | 1371915 | 1 | 11/30/-0001 | Customer Dispute | Settled | $23,570.00 | $0.00 | See FINRA Report |
| Gregory William Gardner | 217720 | 5 | 11/30/-0001 | Customer Dispute | Settled | $24,000.00 | $0.00 | See FINRA Report |
| Rochelle Cohen | 702493 | 1 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Terence Sullivan | 1058805 | 3 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |