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 |
|---|---|---|---|---|---|---|---|---|
| Judson D Nierman | 2732886 | 1 | 01/18/2011 | Customer Dispute | Settled | $445,232.00 | $0.00 | See FINRA Report |
| Robin L Brubacher | 4654064 | 1 | 01/12/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alvin Davis Walton | 3073505 | 1 | 01/12/2011 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Gary Alan Gross | 2104804 | 4 | 01/11/2011 | Customer Dispute | Settled | $156,000.00 | $0.00 | See FINRA Report |
| Bryan Richard MacKey | 5444779 | 2 | 01/11/2011 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Roger Dale Wible | 713755 | 1 | 01/06/2011 | Customer Dispute | Denied | $446,000.00 | $0.00 | See FINRA Report |
| Antonio P Conticelli | 3045189 | 1 | 12/30/2010 | Customer Dispute | Award / Judgment | $154,000.00 | $0.00 | See FINRA Report |
| John Richard Henderson | 2168715 | 4 | 12/30/2010 | Customer Dispute | Settled | $97,874.20 | $0.00 | See FINRA Report |
| Meg Parker | 4568101 | 1 | 12/27/2010 | Customer Dispute | Settled | $87,000.00 | $0.00 | See FINRA Report |
| Ann T Onhaizer | 1703798 | 3 | 12/22/2010 | Customer Dispute | Denied | $185,871.00 | $0.00 | See FINRA Report |