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 |
|---|---|---|---|---|---|---|---|---|
| Robert J Labriola | 2291704 | 4 | 02/28/2012 | Customer Dispute | Settled | $535,250.00 | $0.00 | See FINRA Report |
| James M Della Guardia | 2066968 | 2 | 02/27/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Allison Dawn Tarpley | 3247419 | 2 | 02/21/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| John Richard Henderson | 2168715 | 4 | 02/14/2012 | Customer Dispute | Settled | $776,782.00 | $0.00 | See FINRA Report |
| Kevin Andrew Sullivan | 2638587 | 2 | 02/13/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kimberly Frances Perreira | 2983912 | 1 | 02/13/2012 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Jordon John Havens | 2847842 | 2 | 02/09/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Charles Rasmussen | 5347540 | 1 | 02/06/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Paul Danzinger | 60933 | 2 | 02/03/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Amy Melinda Moore | 1940213 | 1 | 02/01/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |