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 |
|---|---|---|---|---|---|---|---|---|
| William Jeffrey Neal | 1420444 | 4 | 08/01/1992 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Roger Allen Jones | 728640 | 10 | 08/01/1992 | Customer Dispute | Settled | $232,500.00 | $0.00 | See FINRA Report |
| William M Courtney | 1828913 | 2 | 07/24/1992 | Customer Dispute | Settled | $134,000.00 | $0.00 | See FINRA Report |
| Robert Mathew Freeman | 2224252 | 1 | 07/02/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph John Nittolo | 1101158 | 1 | 07/01/1992 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David Robert Finkel | 1198006 | 1 | 07/01/1992 | Customer Dispute | Settled | $277,000.00 | $0.00 | See FINRA Report |
| Vincent J Vella | 1220236 | 5 | 06/24/1992 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 06/16/1992 | Customer Dispute | Settled | $77,750.00 | $0.00 | See FINRA Report |
| William Jeffrey Neal | 1420444 | 4 | 06/01/1992 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Richard L Mazur | 324278 | 2 | 06/01/1992 | Customer Dispute | Settled | $185,000.00 | $0.00 | See FINRA Report |