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 |
|---|---|---|---|---|---|---|---|---|
| Carol A Sandlin | 6329480 | 1 | 06/25/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard C Wilt | 1849007 | 6 | 06/18/1998 | Customer Dispute | Settled | $16,412.00 | $0.00 | See FINRA Report |
| Susan Nicoletti Preslier | 1548277 | 1 | 06/17/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nancy Jo Marciniak | 1812013 | 3 | 06/15/1998 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Jeffrey D Fontes | 2398315 | 3 | 06/12/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Edward Torres | 2255779 | 3 | 06/03/1998 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Suzanne Jan Tudor Magee Fleming | 874086 | 1 | 05/19/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Boyd | 1896369 | 1 | 05/18/1998 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Kelleher | 1059804 | 5 | 05/14/1998 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| Henry Sullivan | 840962 | 5 | 05/13/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |