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 |
|---|---|---|---|---|---|---|---|---|
| Gary Charles Cranford | 1363063 | 3 | 06/21/2013 | Customer Dispute | Denied | $250,000.00 | $0.00 | See FINRA Report |
| Allen K Dennis | 2884103 | 2 | 06/13/2013 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Nathan David Turley | 2292263 | 1 | 06/13/2013 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Kahn | 2072427 | 7 | 06/11/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vincent J Vella | 1220236 | 5 | 06/11/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jason P Kelso | 4828284 | 2 | 06/10/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Henry G Latimer | 2332585 | 3 | 06/03/2013 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Suzanne Jean Friedel | 1799094 | 2 | 05/30/2013 | Customer Dispute | Denied | $14,157.00 | $0.00 | See FINRA Report |
| Eric Raphael | 2473104 | 1 | 05/29/2013 | Customer Dispute | Denied | $168,750.00 | $0.00 | See FINRA Report |
| Dennis M Brown | 2692769 | 1 | 05/29/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |