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 |
|---|---|---|---|---|---|---|---|---|
| Robert J Labriola | 2291704 | 4 | 12/18/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stacey L Specht | 2188443 | 1 | 12/18/2009 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Eric B Candelori | 1678961 | 3 | 12/14/2009 | Customer Dispute | Settled | $2,500,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 12/14/2009 | Customer Dispute | Settled | $2,375,000.00 | $0.00 | See FINRA Report |
| Stephen Douglas Ryan | 1932446 | 2 | 12/11/2009 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Josh N MacAluso | 4000784 | 1 | 12/08/2009 | Customer Dispute | Settled | $268,627.00 | $0.00 | See FINRA Report |
| Martin Barry Stocklan | 839232 | 2 | 12/08/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian S Coulter | 4123819 | 3 | 12/07/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jordan M Gelb | 1444391 | 3 | 11/24/2009 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Richard Edward Sneary | 2352021 | 1 | 11/17/2009 | Customer Dispute | Settled | $98,000.00 | $0.00 | See FINRA Report |