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 |
|---|---|---|---|---|---|---|---|---|
| Marc P Cassalina | 2074366 | 1 | 10/22/1997 | Customer Dispute | Award / Judgment | $95,000.00 | $14,780.00 | See FINRA Report |
| Kevin Leduff | 5553451 | 3 | 10/19/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Thomas Schoeppach | 2196616 | 2 | 10/07/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 09/24/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Julia Battaglia | 3202249 | 1 | 09/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shannon Lee Barnwell | 3108019 | 2 | 09/23/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin M Griffin | 2561554 | 1 | 09/09/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Howard I Katz | 1025634 | 2 | 08/26/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Craig Hornberger | 1032824 | 1 | 07/31/1997 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Amy L McAvoy | 7216144 | 2 | 07/27/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |