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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Curtis Gabriel | 3227564 | 1 | 08/26/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard C Wilt | 1849007 | 6 | 08/21/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Daniel Polin | 2860574 | 5 | 08/21/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James B Lundmark | 5701439 | 1 | 08/19/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Iannucci | 2516627 | 1 | 08/15/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erick J Ellsweig | 4501784 | 2 | 08/14/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Aric E. H Friend | 4939852 | 1 | 08/12/2013 | Customer Dispute | Withdrawn | $90,000.00 | $0.00 | See FINRA Report |
| Anthony James Lafrano | 3235378 | 1 | 08/02/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Scot Taxman | 3060651 | 4 | 07/31/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joel Robert Burns | 2259575 | 3 | 07/31/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |