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 |
|---|---|---|---|---|---|---|---|---|
| Daniel S Slattery | 2491307 | 1 | 08/20/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Christian Harold Axelson | 2927925 | 1 | 08/10/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gina A Carosella | 4522049 | 3 | 08/08/2012 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Richard Kenneth Humphries | 3052089 | 3 | 08/08/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thaddeus B Corbin | 3138727 | 2 | 08/08/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Don Sohn | 806118 | 5 | 07/24/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan S Eltanal | 4214305 | 1 | 07/24/2012 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Joseph Scott Grippo | 2480651 | 2 | 07/24/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine R Carman | 1472509 | 1 | 07/23/2012 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Michael Allen Ruffine | 2603287 | 1 | 07/20/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |