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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Charles Ackroyd | 4272290 | 1 | 04/13/2011 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Robert Oakley Elrod | 2386725 | 1 | 04/11/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vincent J Vella | 1220236 | 5 | 04/11/2011 | Customer Dispute | Settled | $390,000.00 | $0.00 | See FINRA Report |
| Elizabeth Ann Sum-Slaughter | 1371798 | 1 | 04/04/2011 | Customer Dispute | Settled | $262,541.00 | $0.00 | See FINRA Report |
| Erik Scott Kirschner | 2657758 | 6 | 04/04/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daniel J Memo | 3079244 | 6 | 04/04/2011 | Customer Dispute | Settled | $262,541.00 | $0.00 | See FINRA Report |
| Nancy L Unglaub | 1817855 | 2 | 03/25/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vicky T Tsitseras Leonard | 2521460 | 1 | 03/23/2011 | Customer Dispute | Settled | $180,300.00 | $0.00 | See FINRA Report |
| Stephen W Nicholson | 2505361 | 1 | 03/17/2011 | Customer Dispute | Denied | $71,934.00 | $0.00 | See FINRA Report |
| Dustin Berry | 5317612 | 1 | 03/14/2011 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |