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 |
|---|---|---|---|---|---|---|---|---|
| Michael Joseph Valdes | 1412990 | 14 | 03/22/1993 | Customer Dispute | Settled | $255,440.00 | $0.00 | See FINRA Report |
| Michael Dwyer | 847967 | 1 | 03/22/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Stallman | 1758559 | 4 | 03/22/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Renzo Luciano Corazzo | 6800422 | 1 | 03/06/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Christopher Gatto | 1415454 | 7 | 03/04/1993 | Customer Dispute | Settled | $102,000.00 | $0.00 | See FINRA Report |
| Hans Anders Johnson | 823712 | 3 | 03/01/1993 | Customer Dispute | Settled | $32,590.00 | $0.00 | See FINRA Report |
| Robert Joseph Fernandez | 1834366 | 1 | 03/01/1993 | Customer Dispute | Award / Judgment | $1,153.63 | $725.00 | See FINRA Report |
| Stephen Foster Nett | 4638343 | 1 | 02/04/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bert Matthew Halliday | 1335975 | 3 | 02/02/1993 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| George Preston Moler | 841948 | 3 | 01/27/1993 | Customer Dispute | Settled | $99,000.00 | $0.00 | See FINRA Report |