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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Alejandro Ramirez | 6143360 | 1 | 05/04/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Dunbar | 5410690 | 1 | 05/03/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David James House | 6803591 | 1 | 04/29/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Warren Chang | 5783926 | 3 | 04/25/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frank Mignoni | 5869409 | 1 | 03/08/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert L D'Auteuil | 6009593 | 1 | 01/21/2022 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Spencer H Adkisson | 7226002 | 1 | 12/22/2021 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Fernando Pepper Moreira da Costa | 5179486 | 2 | 12/07/2021 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| Mary Jo G Harper | 1846290 | 3 | 11/12/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Herbert Hemmens | 4399632 | 1 | 09/09/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |