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 |
|---|---|---|---|---|---|---|---|---|
| Mark L Telerico | 2849643 | 1 | 07/27/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Adams Weimar | 1200209 | 2 | 06/11/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard James Polimeni | 1633012 | 1 | 06/03/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Allen Noonan | 844406 | 2 | 05/13/1987 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Spiros Protopsaltis | 1273690 | 3 | 05/12/1987 | Customer Dispute | Settled | $56,006.70 | $0.00 | See FINRA Report |
| Mark Gerard Holowicki | 2480002 | 2 | 04/27/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carol M Cromer | 1251558 | 1 | 04/26/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Austin Hess | 4346798 | 1 | 04/24/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Joseph Grace | 813945 | 2 | 01/01/1987 | Customer Dispute | Award / Judgment | $133,519.00 | $30,000.00 | See FINRA Report |
| William Scott Whitman | 4756009 | 1 | 11/21/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |