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 |
|---|---|---|---|---|---|---|---|---|
| David J Sterner | 2095308 | 2 | 01/07/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sharon Bentz Mustered | 1758562 | 3 | 01/06/2000 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael A Cerniga | 7160737 | 1 | 01/04/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 01/04/2000 | Customer Dispute | Closed-No Action | $5,800.00 | $0.00 | See FINRA Report |
| Harold Williams | 1137186 | 1 | 01/04/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Baer | 1667931 | 5 | 12/30/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Lvovsky | 1946811 | 2 | 12/30/1999 | Customer Dispute | Settled | $20,806.10 | $0.00 | See FINRA Report |
| R Noel Bourque | 2469386 | 4 | 12/27/1999 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Emerson Tuttle Knowles | 872708 | 2 | 12/21/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Barry William Barber | 1246246 | 1 | 12/20/1999 | Customer Dispute | Withdrawn | $5,000.00 | $0.00 | See FINRA Report |