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 |
|---|---|---|---|---|---|---|---|---|
| Neil Evan Rinehart | 832976 | 3 | 05/24/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Horace H Smith | 1748760 | 6 | 05/22/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris Dennis Cunningham | 1573549 | 2 | 05/20/2013 | Customer Dispute | Settled | $72,500.00 | $0.00 | See FINRA Report |
| Richard W Holland | 2848775 | 1 | 05/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kent Weston Overholt | 1767736 | 2 | 05/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gregory B Popera | 1383426 | 2 | 05/09/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Casey Freeman | 5127006 | 1 | 05/01/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Margaret-Ann Nugent | 4750509 | 1 | 04/22/2013 | Customer Dispute | Denied | $33,200.00 | $0.00 | See FINRA Report |
| Michael Joseph Goodworth | 3164578 | 3 | 04/17/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald W David | 2465874 | 1 | 04/16/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |