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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Brian Kelly | 1975762 | 4 | 09/19/2008 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Daniel Grammel | 1034526 | 3 | 09/15/2008 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Samuel Hughes Butterworth | 2793567 | 5 | 09/12/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Angelo Richard Zappala | 5060797 | 1 | 09/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew William Damiano | 3258584 | 2 | 08/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Nowak | 731073 | 1 | 08/25/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Lilburn Coffee | 1158713 | 3 | 08/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel S Wright | 4400930 | 1 | 08/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Roy Grossnickle | 2800483 | 2 | 08/12/2008 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| David E Shirley | 857434 | 2 | 08/07/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |