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 |
|---|---|---|---|---|---|---|---|---|
| Pearce Carey Klevan | 5251606 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth M Mirch | 708633 | 5 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter A Wiener | 734847 | 3 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glenn Cary Feigin | 1852382 | 3 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Timothy Higgins | 1174149 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Baer | 1667931 | 5 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James B Hartman | 2357777 | 2 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric A Schwartz | 2518464 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frank Migliazzo | 873495 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Freddie Allen Claybrooks | 4211370 | 4 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |