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 |
|---|---|---|---|---|---|---|---|---|
| Marie Munroe Theilade | 4495819 | 1 | 06/15/2011 | Customer Dispute | Settled | $129,022.00 | $0.00 | See FINRA Report |
| Tracy de Anne King | 1500791 | 2 | 05/04/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Louis Rosenberg | 834852 | 2 | 05/02/2011 | Customer Dispute | Settled | $199,442.00 | $0.00 | See FINRA Report |
| Matthew Raymond Matuza | 2964841 | 2 | 04/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Miles Weatherly | 2463024 | 2 | 04/19/2011 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| Kevin Charles Ackroyd | 4272290 | 1 | 04/13/2011 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Vincent J Vella | 1220236 | 5 | 04/11/2011 | Customer Dispute | Settled | $390,000.00 | $0.00 | See FINRA Report |
| Elizabeth Ann Sum-Slaughter | 1371798 | 1 | 04/04/2011 | Customer Dispute | Settled | $262,541.00 | $0.00 | See FINRA Report |
| Daniel J Memo | 3079244 | 6 | 04/04/2011 | Customer Dispute | Settled | $262,541.00 | $0.00 | See FINRA Report |
| Vicky T Tsitseras Leonard | 2521460 | 1 | 03/23/2011 | Customer Dispute | Settled | $180,300.00 | $0.00 | See FINRA Report |