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 |
|---|---|---|---|---|---|---|---|---|
| David Paul Smith | 4268286 | 1 | 07/26/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Shimkus | 2294488 | 1 | 07/15/2013 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Michael J Barnes | 4572375 | 2 | 07/12/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Nils Robert Bosch | 4924925 | 1 | 07/11/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John F Dawalt | 4292453 | 1 | 07/10/2013 | Customer Dispute | Denied | $13,530.00 | $0.00 | See FINRA Report |
| Andres Mesa | 4089113 | 1 | 07/08/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth C McNamara | 4559359 | 2 | 07/02/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Martin Allan Jakubowski | 1191777 | 1 | 07/02/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ying Zhu | 5286532 | 1 | 06/28/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Craig Garth Hacker | 1403163 | 2 | 06/24/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |