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 |
|---|---|---|---|---|---|---|---|---|
| James Scott Tomoda | 4172887 | 1 | 09/29/2012 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Gianluca Vincent Palermo | 3259852 | 1 | 09/26/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 09/26/2012 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Justin Howard Baker Gillham | 4575519 | 2 | 09/24/2012 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Thaddeus James Sargent | 1855200 | 1 | 09/14/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Stuart Zeising | 2596248 | 1 | 09/13/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Julianne Garvin Weisshaut | 1496717 | 1 | 09/06/2012 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| John David Duncan | 2036917 | 1 | 08/24/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Erik Vatter | 4706941 | 2 | 08/21/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kandis Kay Schissel | 4488965 | 1 | 08/20/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |