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 |
|---|---|---|---|---|---|---|---|---|
| Pedro Pablo Gomez | 2068388 | 17 | 10/21/2013 | Customer Dispute | Settled | $1,552,650.00 | $0.00 | See FINRA Report |
| Fred Michael Berry | 2614760 | 1 | 10/17/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John William Boukamp | 1444222 | 8 | 10/16/2013 | Customer Dispute | Settled | $522,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 10/16/2013 | Customer Dispute | Award / Judgment | $702,003.00 | $0.00 | See FINRA Report |
| Maria Chaves Vales | 3035469 | 1 | 10/14/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Roland Bryson | 1500747 | 1 | 10/11/2013 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Kate S McKee | 5412368 | 1 | 09/30/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Joseph Ludlow | 2901941 | 1 | 09/26/2013 | Customer Dispute | Denied | $17,915.60 | $0.00 | See FINRA Report |
| Brad Roger Nettune | 2866110 | 3 | 09/24/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Bryan J Wollheim | 3088410 | 1 | 09/23/2013 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |