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 |
|---|---|---|---|---|---|---|---|---|
| Courtney Ayn Burton | 4075688 | 1 | 07/20/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey P Renelt | 1779504 | 2 | 07/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark A Howard | 4270909 | 4 | 07/18/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Stephen Pickering | 1233918 | 2 | 07/18/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cory Goligoski | 2270289 | 3 | 07/12/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alan Harry Ford | 211004 | 2 | 07/11/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roberto A Fernandez | 1404389 | 6 | 07/10/2012 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Russell Lowell Brown | 806158 | 2 | 07/05/2012 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Allison Dawn Tarpley | 3247419 | 2 | 07/03/2012 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Martin McGehrin | 1125805 | 2 | 06/26/2012 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |