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 |
|---|---|---|---|---|---|---|---|---|
| John Edward Docter | 1341933 | 1 | 12/12/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chuck R Ayers | 2260536 | 1 | 12/04/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Aubrey Martin Sharfman | 1777650 | 1 | 12/03/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 11/29/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Robert Bier | 1226100 | 2 | 11/13/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 11/01/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Allen Hoelzer | 1178903 | 2 | 10/31/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Noone | 4121873 | 1 | 10/28/2013 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Jay M Weiner | 3025166 | 1 | 10/28/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter A Danas | 1365371 | 2 | 10/25/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |