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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Alan Scott | 4539293 | 4 | 02/11/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan Dean Hekman | 2499418 | 2 | 02/11/2011 | Customer Dispute | Denied | $32,668.00 | $0.00 | See FINRA Report |
| William W Baxley | 2983607 | 2 | 02/09/2011 | Customer Dispute | Denied | $18,593.00 | $0.00 | See FINRA Report |
| Jonathan Neil Polakoff | 2142716 | 1 | 02/07/2011 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| William Lawrence Cain | 1222564 | 2 | 02/03/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Craig Brinton | 5498737 | 3 | 01/28/2011 | Customer Dispute | Pending | $260,000.00 | $0.00 | See FINRA Report |
| Kevin Wayne Higginbotham | 3266369 | 2 | 01/25/2011 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| William Henry Brown | 713486 | 5 | 01/20/2011 | Customer Dispute | Settled | $16,523.00 | $0.00 | See FINRA Report |
| Michael Paul Tyranski | 1904024 | 1 | 01/19/2011 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Jonathan Rodney Leach | 4255458 | 2 | 01/18/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |