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 |
|---|---|---|---|---|---|---|---|---|
| Chanh D Truong | 6043861 | 1 | 08/06/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charlie Reppard Nash | 2387730 | 1 | 06/20/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Rene Syriani | 3092113 | 3 | 02/23/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Phillip Martin Stern | 6317757 | 1 | 02/16/2016 | Customer Dispute | Closed-No Action | $56,000.00 | $0.00 | See FINRA Report |
| Gary Michael Cohen | 830009 | 2 | 02/03/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Karen M Hoy | 1984236 | 3 | 12/22/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David M Wilson | 4766367 | 4 | 08/16/2015 | Customer Dispute | Closed-No Action | $164,000.00 | $0.00 | See FINRA Report |
| Rick Baker | 2106010 | 3 | 06/28/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas P McCormick | 5932750 | 2 | 03/13/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John David Cornell | 4038552 | 2 | 03/13/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |