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 |
|---|---|---|---|---|---|---|---|---|
| Gregory B Popera | 1383426 | 2 | 11/09/2012 | Customer Dispute | Denied | $334,000.00 | $0.00 | See FINRA Report |
| Xuejun J Kuang | 2979824 | 2 | 11/01/2012 | Customer Dispute | Denied | $30,483.90 | $0.00 | See FINRA Report |
| James Sean O'Reilly | 2934509 | 1 | 10/31/2012 | Customer Dispute | Denied | $637,000.00 | $0.00 | See FINRA Report |
| David Brian Carpentier | 3143070 | 2 | 10/26/2012 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Matthew Mitchel Kahn | 2512176 | 1 | 10/26/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Thomas Ruthrauff | 1523375 | 1 | 10/26/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph Nader | 1063967 | 2 | 10/22/2012 | Customer Dispute | Settled | $677,044.00 | $0.00 | See FINRA Report |
| Randy Harris Schild | 2410144 | 2 | 10/12/2012 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| William B Stevenson | 1217172 | 6 | 10/10/2012 | Customer Dispute | Settled | $36,450.00 | $0.00 | See FINRA Report |
| Gary Alan Gross | 2104804 | 4 | 10/01/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |