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 |
|---|---|---|---|---|---|---|---|---|
| Candice Hammond | 1108294 | 1 | 08/07/1998 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Denny Hooten | 7278810 | 2 | 08/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lurenzo MacKlin | 5185575 | 2 | 07/21/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas S Matulich | 1407290 | 1 | 07/19/1998 | Customer Dispute | Denied | $39,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Cheleuitte | 5576467 | 1 | 07/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Craig L Somerby | 1499942 | 1 | 07/09/1998 | Customer Dispute | Closed-No Action | $373,000.00 | $0.00 | See FINRA Report |
| Annette G Musa | 1076657 | 1 | 07/06/1998 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| James Berg, Jr | 870029 | 1 | 07/06/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Louis Cremonni | 722469 | 4 | 07/06/1998 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Glenn C Bannan | 2907592 | 1 | 07/03/1998 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |