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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Christopher Dupuis | 4818837 | 2 | 01/23/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jake Remolona | 7427430 | 1 | 01/23/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lukasz G Janko | 6557915 | 1 | 01/20/2023 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Aubrey W Lee | 1685532 | 3 | 01/20/2023 | Customer Dispute | Denied | $175,000.00 | $0.00 | See FINRA Report |
| Eduardo Andrew Martinez | 5950799 | 4 | 01/13/2023 | Customer Dispute | Pending | $33,269.40 | $0.00 | See FINRA Report |
| Penelope Donnelly | 2729915 | 3 | 01/10/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Harris | 4400643 | 1 | 01/03/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Adrian Lynn Phipps | 4760756 | 1 | 12/30/2022 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Matthew D Pomerantz | 6535723 | 1 | 12/23/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert John Schuldt | 2483353 | 5 | 12/15/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |