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 |
|---|---|---|---|---|---|---|---|---|
| Jason S Cherny | 1769982 | 2 | 05/05/1998 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Jude Mattes | 711974 | 2 | 05/05/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Manuel Deverozon Dortch | 5242054 | 1 | 04/29/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter Anthony Levinson | 1625139 | 1 | 04/27/1998 | Customer Dispute | Settled | $1,911,480.00 | $0.00 | See FINRA Report |
| John Kevin Wilson | 1248938 | 2 | 04/24/1998 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Marc C Demello | 1753921 | 4 | 04/21/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Jay Mayer | 1189044 | 1 | 04/20/1998 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Michael Edward Leali | 861796 | 3 | 04/06/1998 | Customer Dispute | Denied | $24,613.00 | $0.00 | See FINRA Report |
| Melinda Hosier | 1017507 | 6 | 03/27/1998 | Customer Dispute | Settled | $583,414.00 | $0.00 | See FINRA Report |
| James Peyton Fletcher | 1230878 | 1 | 03/24/1998 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |