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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Douglas Coltrane Jr | 5578503 | 1 | 06/14/2023 | Customer Dispute | Denied | $53,382.40 | $0.00 | See FINRA Report |
| John James Forster | 1303832 | 6 | 06/12/2023 | Customer Dispute | Settled | $272,000.00 | $0.00 | See FINRA Report |
| Albert Ross Crimaldi | 6695337 | 1 | 06/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joe Celotto | 2837515 | 1 | 06/05/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Alan Steven Mann | 1827683 | 3 | 06/01/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Shannon Renee Roehrs | 4359877 | 1 | 06/01/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Matthew Barr | 5224488 | 1 | 05/30/2023 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Alexander Cross Callahan | 2754040 | 1 | 05/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lei Shan | 3123255 | 1 | 05/29/2023 | Customer Dispute | Denied | $10,237.70 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 05/24/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |