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 |
|---|---|---|---|---|---|---|---|---|
| Derek Snaith McDaniel | 7023903 | 1 | 12/15/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Joachim Terzi | 7008502 | 1 | 12/15/2022 | Customer Dispute | Final | $203,007.00 | $0.00 | See FINRA Report |
| G S Schein | 2567105 | 1 | 12/13/2022 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Gregory A Degraeve | 5722861 | 1 | 12/12/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Timothy J Shaughnessy | 5658119 | 1 | 12/09/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Warren Owens | 1048781 | 2 | 12/07/2022 | Customer Dispute | Denied | $133,084.00 | $0.00 | See FINRA Report |
| Michele Turk | 4653711 | 2 | 11/30/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Mark F Francis Hales | 1391514 | 5 | 11/22/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roger M Wallach | 2460445 | 2 | 11/08/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine Kelly Larsen | 2540556 | 2 | 10/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |