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 |
|---|---|---|---|---|---|---|---|---|
| Carl Peter Neuberger | 732053 | 3 | 06/16/2010 | Customer Dispute | Settled | $22,684.10 | $0.00 | See FINRA Report |
| Sean Joseph Gaffey | 4284044 | 8 | 06/15/2010 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| Lawrence Gilbert MacY | 1613186 | 2 | 06/08/2010 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Dorothy Louise Boyer | 27791 | 1 | 06/08/2010 | Customer Dispute | Settled | $79,711.80 | $0.00 | See FINRA Report |
| Harry Raymond Goff | 4257059 | 1 | 06/01/2010 | Customer Dispute | Settled | $15,675,000.00 | $0.00 | See FINRA Report |
| Jennifer Marie Shaw | 2773245 | 2 | 05/27/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Declan J Mahar | 1233032 | 3 | 05/24/2010 | Customer Dispute | Settled | $7,300,000.00 | $0.00 | See FINRA Report |
| William Michael Pressman | 2868675 | 4 | 05/10/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Gina A Carosella | 4522049 | 3 | 05/07/2010 | Customer Dispute | Settled | $195,000.00 | $0.00 | See FINRA Report |
| Declan J Mahar | 1233032 | 3 | 04/30/2010 | Customer Dispute | Settled | $3,400,000.00 | $0.00 | See FINRA Report |