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 |
|---|---|---|---|---|---|---|---|---|
| Richard Gerard Cardinali | 2648089 | 1 | 01/30/2012 | Customer Dispute | Denied | $17,399.50 | $0.00 | See FINRA Report |
| Catherine Sharp Smith | 4662708 | 1 | 01/23/2012 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| David Anthony Langhorne | 2152640 | 1 | 01/13/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Henry Berntsen | 1480860 | 3 | 01/12/2012 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| John Robert Steiner | 2229844 | 1 | 01/11/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Deborah H Lee | 2240166 | 1 | 01/11/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Damon Couch | 1596120 | 1 | 01/09/2012 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jonathan Rodney Leach | 4255458 | 2 | 12/30/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David Edgar Voysey | 2209563 | 3 | 12/27/2011 | Customer Dispute | Award / Judgment | $24,000.00 | $12,000.00 | See FINRA Report |
| Matthew Roger White | 5309045 | 1 | 12/22/2011 | Customer Dispute | Closed-No Action | $8,019.67 | $0.00 | See FINRA Report |