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 |
|---|---|---|---|---|---|---|---|---|
| Christopher E Fahey | 1888845 | 1 | 11/21/2011 | Customer Dispute | Closed-No Action | $513,000.00 | $0.00 | See FINRA Report |
| Kenneth Sharon | 1971997 | 2 | 09/22/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Chris Philip Maniaci | 2502562 | 1 | 09/01/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Martin McGehrin | 1125805 | 2 | 06/16/2011 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| David Gordon | 2785670 | 2 | 05/23/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brett J Malamet | 4641811 | 1 | 12/03/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Blake Arthur Pollock | 1842567 | 1 | 08/06/2010 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Juan Carlos Estarellas Sabater | 3248002 | 1 | 07/15/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Grammel | 1034526 | 3 | 03/30/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 03/18/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |