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 |
|---|---|---|---|---|---|---|---|---|
| William J Liebowitz | 1555491 | 4 | 03/11/2011 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| D. Scott Scott Wisman | 1085875 | 3 | 03/02/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Geoffrey Snelling | 1197337 | 3 | 03/01/2011 | Customer Dispute | Settled | $275,000.00 | $0.00 | See FINRA Report |
| Adam Jason Rosenfeld | 4310098 | 9 | 03/01/2011 | Customer Dispute | Settled | $210,486.00 | $0.00 | See FINRA Report |
| Joseph Frank Acquazzino | 1039303 | 1 | 02/23/2011 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Christopher George Malley | 2210578 | 1 | 02/14/2011 | Customer Dispute | Settled | $1,073,940.00 | $0.00 | See FINRA Report |
| Gregory Alan Scott | 4539293 | 4 | 02/11/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Neil Polakoff | 2142716 | 1 | 02/07/2011 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William Lawrence Cain | 1222564 | 2 | 02/03/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Kevin Wayne Higginbotham | 3266369 | 2 | 01/25/2011 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |