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 |
|---|---|---|---|---|---|---|---|---|
| Logan R Elfreich | 6329458 | 1 | 04/28/2021 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| John D Theodossakos | 2910306 | 1 | 12/01/2020 | Customer Dispute | Closed-No Action | $550,000.00 | $0.00 | See FINRA Report |
| Ross Berman | 4355980 | 1 | 12/01/2020 | Customer Dispute | Closed-No Action | $550,000.00 | $0.00 | See FINRA Report |
| Trent Walker Longnecker | 2344606 | 2 | 05/29/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ernst Junior Tullus | 6151941 | 2 | 05/13/2020 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Licari | 1106018 | 3 | 04/17/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kristin Ashley Haynes | 6558004 | 1 | 02/07/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/05/2019 | Customer Dispute | Closed-No Action | $1,300,000.00 | $0.00 | See FINRA Report |
| Mark Eben Lilley | 2775770 | 5 | 05/02/2019 | Customer Dispute | Closed-No Action | $365,000.00 | $0.00 | See FINRA Report |
| Christopher Shawn Beckett | 4816193 | 2 | 01/04/2019 | Customer Dispute | Closed-No Action | $59,350.00 | $0.00 | See FINRA Report |