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 |
|---|---|---|---|---|---|---|---|---|
| James Aubrey Sapp | 2464496 | 2 | 09/19/2013 | Customer Dispute | Denied | $5,567.18 | $0.00 | See FINRA Report |
| Jason Kirk Velky | 4952105 | 1 | 09/17/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Eugene Guilliams | 834378 | 1 | 09/13/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Salvador Rodriguez | 3224020 | 2 | 09/10/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Frederick Martinez | 2167081 | 2 | 09/10/2013 | Customer Dispute | Settled | $24,130.00 | $0.00 | See FINRA Report |
| Brian J Howe | 4635919 | 1 | 09/09/2013 | Customer Dispute | Pending | $12,707.70 | $0.00 | See FINRA Report |
| Saundra Joan Gardner | 3268104 | 1 | 09/07/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Traci Lynn Bumpus | 4119161 | 1 | 09/06/2013 | Customer Dispute | Denied | $12,486.70 | $0.00 | See FINRA Report |
| William Craig Mayeux | 2589657 | 1 | 09/05/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Wesley Lewis | 1125729 | 5 | 08/30/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |