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 |
|---|---|---|---|---|---|---|---|---|
| Andres Alminana | 5418990 | 1 | 05/23/2023 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kerry A Knox | 4130858 | 3 | 05/19/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pedro M Suau-Sanchidrian | 2765419 | 3 | 05/18/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Eben Lilley | 2775770 | 6 | 05/18/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 04/21/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Nash | 1126026 | 3 | 04/18/2023 | Customer Dispute | Pending | $216,208.00 | $0.00 | See FINRA Report |
| Richard Edward Ryall | 408065 | 4 | 03/28/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Laura C Greaser | 4695816 | 1 | 02/03/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Nash | 1126026 | 3 | 02/02/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Patrick Donnelly | 2374887 | 7 | 02/01/2023 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |