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 |
|---|---|---|---|---|---|---|---|---|
| Eric Sean Kaplan | 2945918 | 2 | 12/12/2005 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Camillo Joseph D'Angelo | 2661613 | 1 | 05/23/2005 | Customer Dispute | Withdrawn | $10,094.00 | $0.00 | See FINRA Report |
| Scott Kingsley Swift | 722124 | 4 | 04/14/2005 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joseph Ralph Chiarantona | 1738165 | 4 | 05/28/2004 | Customer Dispute | Withdrawn | $53,523.00 | $0.00 | See FINRA Report |
| John David Cornell | 4038552 | 2 | 05/21/2004 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |
| John B King | 727321 | 1 | 12/10/2003 | Customer Dispute | Withdrawn | $225,000.00 | $0.00 | See FINRA Report |
| Jerry Scott Brown | 1676362 | 4 | 05/09/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Todd Alan Dorman | 1611742 | 1 | 05/08/2003 | Customer Dispute | Withdrawn | $360,000.00 | $0.00 | See FINRA Report |
| David Robert Bier | 1226100 | 2 | 02/19/2003 | Customer Dispute | Withdrawn | $25,000.00 | $0.00 | See FINRA Report |
| Melissa Stout | 1237337 | 1 | 01/31/2003 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |