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 |
|---|---|---|---|---|---|---|---|---|
| John F Curtis | 705648 | 2 | 12/15/1994 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Timothy J Corgan | 4838640 | 1 | 11/29/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Anthony Thomas Gonzalez | 224936 | 4 | 11/16/1994 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ronald Grimm | 4596343 | 1 | 11/08/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent M Ambroselli | 1683521 | 5 | 11/04/1994 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |
| Donald Paul McGee | 1421707 | 1 | 11/02/1994 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Sean Robert Waltz | 2335889 | 2 | 11/01/1994 | Customer Dispute | Award / Judgment | $7,010.85 | $4,612.50 | See FINRA Report |
| James Scott Harkey | 3129207 | 3 | 10/14/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew John Kowitski | 2035663 | 2 | 10/07/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David E Burns | 1392062 | 3 | 09/21/1994 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |