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 |
|---|---|---|---|---|---|---|---|---|
| James Michael Barry | 1088379 | 1 | 09/28/2009 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Michael Vincent Foley | 2595233 | 3 | 09/22/2009 | Customer Dispute | Settled | $144,000.00 | $0.00 | See FINRA Report |
| Andrew Thomas Sinsigalli | 2178808 | 3 | 09/22/2009 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Ralph Walker | 2652135 | 2 | 09/16/2009 | Customer Dispute | Settled | $234,522.00 | $0.00 | See FINRA Report |
| Louis P Spinelli | 4071864 | 1 | 09/15/2009 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Adam Jason Rosenfeld | 4310098 | 9 | 09/14/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Gregory Alan Scott | 4539293 | 4 | 09/09/2009 | Customer Dispute | Settled | $84,996.00 | $0.00 | See FINRA Report |
| Richard Edward Ryall | 408065 | 4 | 09/03/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Scott Christopher Hunter | 4070030 | 1 | 09/01/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jorge Llamas | 3241370 | 1 | 08/31/2009 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |