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 |
|---|---|---|---|---|---|---|---|---|
| Craig Brinton | 5498737 | 3 | 08/20/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Timothy Charles Hines | 2341837 | 2 | 08/19/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Anthony Monaco | 7038609 | 1 | 08/15/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cesar Agustin Peralta | 2960311 | 1 | 07/26/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Edwards | 2317865 | 1 | 07/19/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Steven Marks | 704929 | 3 | 07/19/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chad Christopher Zawacki | 2996799 | 2 | 07/10/2024 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Michael W Lawrence | 4225910 | 2 | 07/10/2024 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Mary M Mc Dougall | 1033553 | 4 | 07/10/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary M Mc Dougall | 1033553 | 4 | 07/10/2024 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |