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 |
|---|---|---|---|---|---|---|---|---|
| James A Ward | 6150246 | 2 | 01/21/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James A Ward | 6150246 | 2 | 01/18/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Penelope Donnelly | 2729915 | 3 | 01/10/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Mary McCowen Leblanc | 5787231 | 1 | 01/05/2023 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Brett Allen Howell | 4157822 | 1 | 01/05/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Harris | 4400643 | 1 | 01/03/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Adrian Lynn Phipps | 4760756 | 1 | 12/30/2022 | Customer Dispute | Pending | $30,000.00 | $0.00 | See FINRA Report |
| Eric M Green | 6565131 | 4 | 12/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Britton Hue Trimmer | 4184491 | 5 | 12/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy McKenna | 2029697 | 1 | 12/23/2022 | Customer Dispute | Pending | $250,000.00 | $0.00 | See FINRA Report |