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 |
|---|---|---|---|---|---|---|---|---|
| Richard Anthony Dileonardo | 2009596 | 5 | 02/17/1999 | Customer Dispute | Denied | $13,600.00 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 02/16/1999 | Customer Dispute | Denied | $8,423.00 | $0.00 | See FINRA Report |
| Stephen E Applebaum | 3240220 | 3 | 02/10/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gordon P Davis | 1255093 | 2 | 02/02/1999 | Customer Dispute | Settled | $28,000.00 | $0.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 02/01/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fataneh Geransar | 2337191 | 2 | 01/26/1999 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Mark Allen Wilden | 1432558 | 1 | 01/22/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Frederick Joseph Stucker | 1908143 | 7 | 01/21/1999 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Valdes | 1412990 | 14 | 01/20/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Harley Amstutz | 820127 | 1 | 01/15/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |