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 |
|---|---|---|---|---|---|---|---|---|
| Hong Ogle | 2473146 | 1 | 04/15/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donna Geist Higbee | 2477012 | 1 | 04/12/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Darlene Flick Michelson | 2848736 | 1 | 04/09/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard D Hattaway | 5021453 | 1 | 04/08/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel R Ellison | 2320115 | 6 | 04/03/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Wilson Moore | 2526192 | 2 | 03/25/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Wilson Moore | 2526192 | 2 | 03/21/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Hormell Rice | 1684449 | 2 | 03/08/2013 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| William de Cardenas | 2766308 | 1 | 03/07/2013 | Customer Dispute | Denied | $20,323.70 | $0.00 | See FINRA Report |
| Lambros Violaris | 2264340 | 2 | 03/05/2013 | Customer Dispute | Denied | $5,842.20 | $0.00 | See FINRA Report |