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 |
|---|---|---|---|---|---|---|---|---|
| R Noel Bourque | 2469386 | 4 | 02/16/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Prescott Bevier Rowe | 6008801 | 1 | 02/16/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kennon Rene McCarthy | 2663007 | 3 | 02/07/2000 | Customer Dispute | Settled | $10,179.80 | $0.00 | See FINRA Report |
| Daryn W Pingleton | 1520639 | 6 | 02/03/2000 | Customer Dispute | Settled | $5,538.00 | $0.00 | See FINRA Report |
| Joseph Ralph Chiarantona | 1738165 | 4 | 02/03/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Susan Marie Reck | 372177 | 2 | 01/28/2000 | Customer Dispute | Closed-No Action | $13,788.00 | $0.00 | See FINRA Report |
| John R Dobay | 1790935 | 2 | 01/28/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jessica Luong | 2796187 | 1 | 01/26/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric S Snyder | 2706837 | 3 | 01/25/2000 | Customer Dispute | Settled | $19,102.00 | $0.00 | See FINRA Report |
| David A Paolino | 2222266 | 2 | 01/24/2000 | Customer Dispute | Settled | $32,231.00 | $0.00 | See FINRA Report |