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 |
|---|---|---|---|---|---|---|---|---|
| John Cornelius Troutman | 4312155 | 2 | 03/09/2010 | Customer Dispute | Settled | $1,438.39 | $0.00 | See FINRA Report |
| Brad Philip Green | 1450888 | 3 | 02/22/2010 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Denise Kim Mersinger | 3128752 | 2 | 02/19/2010 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 02/19/2010 | Customer Dispute | Settled | $54,050,000.00 | $0.00 | See FINRA Report |
| Helen D Sharpe | 5140840 | 1 | 02/16/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Patrick J Walsh | 872941 | 3 | 02/12/2010 | Customer Dispute | Settled | $681,598.00 | $0.00 | See FINRA Report |
| Gina A Carosella | 4522049 | 3 | 02/09/2010 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Nicholas Anthony Cafaro | 4800150 | 1 | 02/04/2010 | Customer Dispute | Settled | $76,809.00 | $0.00 | See FINRA Report |
| Nicole Marie Andres | 2144858 | 3 | 01/28/2010 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 01/27/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |