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 |
|---|---|---|---|---|---|---|---|---|
| Carol L Todd | 1337510 | 2 | 01/13/2013 | Customer Dispute | Denied | $14,000,000.00 | $0.00 | See FINRA Report |
| Daryle Barnard | 5431495 | 1 | 01/08/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Henry Berntsen | 1480860 | 3 | 01/03/2013 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Wade Mitchell Wolfe | 2176762 | 3 | 01/03/2013 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| William Michael Pressman | 2868675 | 4 | 01/03/2013 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Gary Eugene Morgan | 1517009 | 5 | 12/07/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Owen A Thiessen | 5080244 | 1 | 11/27/2012 | Customer Dispute | Denied | $64,931.00 | $0.00 | See FINRA Report |
| Allan Gordon Thiessen | 1107823 | 8 | 11/27/2012 | Customer Dispute | Denied | $64,931.00 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 11/26/2012 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| G K Lloyd | 1508761 | 1 | 11/09/2012 | Customer Dispute | Settled | $147,971.00 | $0.00 | See FINRA Report |