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 |
|---|---|---|---|---|---|---|---|---|
| Rocco Papandrea | 2057390 | 2 | 04/09/2012 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Todd Arthur Nelson | 1964785 | 1 | 04/03/2012 | Customer Dispute | Denied | $65,635.20 | $0.00 | See FINRA Report |
| Glenda Brenetta Ross | 1132875 | 1 | 04/02/2012 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Jenny Yun Hunter | 4972994 | 1 | 03/23/2012 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Leah Elletta Braden | 5148568 | 1 | 03/19/2012 | Customer Dispute | Settled | $46,802.80 | $0.00 | See FINRA Report |
| Don Wade Lilly | 3142542 | 1 | 03/19/2012 | Customer Dispute | Settled | $46,802.80 | $0.00 | See FINRA Report |
| Michael Shawn Flanagan | 2518279 | 1 | 03/14/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nancy L Unglaub | 1817855 | 2 | 03/08/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shott F Miller | 1408480 | 1 | 03/02/2012 | Customer Dispute | Denied | $114,097.00 | $0.00 | See FINRA Report |
| Stephen Kelly Porter | 849545 | 1 | 03/01/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |