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 |
|---|---|---|---|---|---|---|---|---|
| Fred Gerard Lorenz | 1190922 | 2 | 10/19/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rocco Papandrea | 2057390 | 2 | 10/15/1999 | Customer Dispute | Closed-No Action | $28,308.40 | $0.00 | See FINRA Report |
| Mark Arnold Theriault | 1888502 | 4 | 10/06/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Nicholas Wolanske | 1969224 | 3 | 10/04/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Nicholas Wolanske | 1969224 | 3 | 10/04/1999 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| William Edward Moore | 2313901 | 2 | 10/01/1999 | Customer Dispute | Settled | $121,000.00 | $0.00 | See FINRA Report |
| Joseph Lyons Stannard | 1026241 | 2 | 10/01/1999 | Customer Dispute | Denied | $54,309.00 | $0.00 | See FINRA Report |
| William Thomas Epping | 1803497 | 1 | 10/01/1999 | Customer Dispute | Settled | $18,387.00 | $0.00 | See FINRA Report |
| Joseph John Valdrini | 867570 | 2 | 09/23/1999 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Hans Anders Johnson | 823712 | 3 | 09/23/1999 | Customer Dispute | Closed-No Action | $26,000.00 | $0.00 | See FINRA Report |