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 |
|---|---|---|---|---|---|---|---|---|
| Albert W Kobular | 1241192 | 3 | 08/25/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Damian Holsinger | 1602826 | 1 | 08/20/1999 | Customer Dispute | Denied | $43,336.00 | $0.00 | See FINRA Report |
| George Thomas Haskins | 2469199 | 1 | 08/19/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erin Annette Turner | 4449415 | 2 | 08/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Violet Lee | 2279257 | 2 | 08/16/1999 | Customer Dispute | Pending | $10,000.00 | $0.00 | See FINRA Report |
| Bryan Lamar Paparella | 2926631 | 1 | 08/11/1999 | Customer Dispute | Denied | $8,999.00 | $0.00 | See FINRA Report |
| Kristyn Brianna Omeara | 6562099 | 1 | 08/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Heron Collins | 719354 | 2 | 07/29/1999 | Customer Dispute | Settled | $6,433.02 | $0.00 | See FINRA Report |
| John Joseph Brienza | 1652520 | 5 | 07/12/1999 | Customer Dispute | Award / Judgment | $800,000.00 | $42,524.80 | See FINRA Report |
| James Matthews Troy | 1172773 | 4 | 07/12/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |