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 |
|---|---|---|---|---|---|---|---|---|
| Holly Beall Wallace | 1528082 | 5 | 03/16/2000 | Customer Dispute | Withdrawn | $80,000.00 | $0.00 | See FINRA Report |
| John Christopher Gatto | 1415454 | 7 | 03/15/2000 | Customer Dispute | Denied | $9,887.00 | $0.00 | See FINRA Report |
| David Matthew Girio | 2788173 | 6 | 03/07/2000 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Michael Vincent Foley | 2595233 | 3 | 03/06/2000 | Customer Dispute | Closed-No Action | $9,734.00 | $0.00 | See FINRA Report |
| Christopher P MacNamara | 2639899 | 1 | 03/06/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Todd Wahl | 2116212 | 4 | 03/02/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Alex F Tanguay | 4410927 | 1 | 02/25/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven H. F Smith | 1871600 | 1 | 02/24/2000 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Keith Robert Gerard Conklin | 1546496 | 1 | 02/23/2000 | Customer Dispute | Settled | $183,273.00 | $0.00 | See FINRA Report |
| Scott Kingsley Swift | 722124 | 4 | 02/23/2000 | Customer Dispute | Closed-No Action | $45,000.00 | $0.00 | See FINRA Report |