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 Adams Weimar | 1200209 | 2 | 07/13/2009 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Kennon Rene McCarthy | 2663007 | 3 | 07/10/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Allen Reicks | 1377822 | 1 | 06/30/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Philip Michael Caso | 1184083 | 4 | 06/29/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Trent W Montague | 2998013 | 1 | 06/27/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ronald Arthur Slevin | 500506 | 7 | 06/26/2009 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Adam Jason Rosenfeld | 4310098 | 9 | 06/24/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Verlin Kim Heiman | 2798197 | 3 | 06/23/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Daniel Michael Nolan | 867801 | 4 | 06/22/2009 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Joseph Dennis Dondalski | 1295460 | 1 | 06/16/2009 | Customer Dispute | Settled | $106,100.00 | $0.00 | See FINRA Report |