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 |
|---|---|---|---|---|---|---|---|---|
| Dane M Johnson | 2122107 | 1 | 06/30/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Joanne Virginia Graham | 1048392 | 3 | 06/28/2011 | Customer Dispute | Denied | $95,000.00 | $0.00 | See FINRA Report |
| Jennifer Marie Shaw | 2773245 | 2 | 06/28/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| David Elliott Jennings | 1418524 | 1 | 06/24/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Troy David Shreckengast | 2352330 | 2 | 06/23/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Evan Carl Scott | 1104024 | 2 | 06/22/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Michael Lively | 2421888 | 2 | 06/21/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martin McGehrin | 1125805 | 2 | 06/16/2011 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| August Anthony Cenname | 43798 | 1 | 06/16/2011 | Customer Dispute | Settled | $12,000,000.00 | $0.00 | See FINRA Report |
| Marie Munroe Theilade | 4495819 | 1 | 06/15/2011 | Customer Dispute | Settled | $129,022.00 | $0.00 | See FINRA Report |