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 |
|---|---|---|---|---|---|---|---|---|
| Edward Wesley MacAuley | 2197112 | 2 | 01/15/1999 | Customer Dispute | Denied | $18,505.00 | $0.00 | See FINRA Report |
| Joseph C Dimattina | 2194369 | 1 | 01/15/1999 | Customer Dispute | Denied | $6,374.99 | $0.00 | See FINRA Report |
| John Calvin Hemphill | 1978556 | 2 | 01/08/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrea Marshall Williams | 5118759 | 1 | 01/01/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alfredia Fleshia Lewis | 3230588 | 1 | 12/19/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew Dewitt Bateman | 4737887 | 2 | 12/17/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William B Stevenson | 1217172 | 6 | 12/15/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Moskowitz | 1518377 | 2 | 12/14/1998 | Customer Dispute | Denied | $42,000.00 | $0.00 | See FINRA Report |
| Walter Charles Szturma | 1815834 | 4 | 12/10/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Victoria Anne Staebler | 4361476 | 1 | 12/08/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |