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 |
|---|---|---|---|---|---|---|---|---|
| Fareed Siddiq | 726409 | 1 | 07/19/2002 | Customer Dispute | Withdrawn | $50,036.00 | $0.00 | See FINRA Report |
| Gary Lew Warren | 1455202 | 1 | 03/18/2002 | Customer Dispute | Withdrawn | $320,000.00 | $0.00 | See FINRA Report |
| Richard Baer | 1667931 | 5 | 02/19/2002 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Erik C Scaranuzzo | 4199649 | 1 | 06/22/2001 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Hanson | 2044884 | 5 | 04/05/2001 | Customer Dispute | Withdrawn | $209,000.00 | $0.00 | See FINRA Report |
| John Michael Nowak | 707792 | 3 | 01/09/2001 | Customer Dispute | Withdrawn | $400,000.00 | $0.00 | See FINRA Report |
| Bruce Bryant Tonascia | 1252067 | 1 | 09/11/2000 | Customer Dispute | Withdrawn | $135,682.00 | $0.00 | See FINRA Report |
| Mary L Ruch | 1357181 | 2 | 05/04/2000 | Customer Dispute | Withdrawn | $31,811.00 | $0.00 | See FINRA Report |
| Holly Beall Wallace | 1528082 | 5 | 03/16/2000 | Customer Dispute | Withdrawn | $80,000.00 | $0.00 | See FINRA Report |
| Barry William Barber | 1246246 | 1 | 12/20/1999 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |