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 |
|---|---|---|---|---|---|---|---|---|
| Ken Gordon Secemski | 2621644 | 2 | 12/15/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Oprinski | 4512244 | 3 | 12/15/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Richard Henderson | 2168715 | 4 | 12/15/2010 | Customer Dispute | Settled | $90,060.70 | $0.00 | See FINRA Report |
| Gregory Alan Scott | 4539293 | 4 | 12/07/2010 | Customer Dispute | Dismissed | $500,000.00 | $0.00 | See FINRA Report |
| Brett J Malamet | 4641811 | 1 | 12/03/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 11/19/2010 | Customer Dispute | Settled | $26,482.90 | $0.00 | See FINRA Report |
| Carl Peter Neuberger | 732053 | 3 | 11/16/2010 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Patricia Marie Cleary | 722476 | 1 | 11/12/2010 | Customer Dispute | Settled | $790,000.00 | $0.00 | See FINRA Report |
| Neil Scott Carlin | 1228254 | 1 | 11/10/2010 | Customer Dispute | Denied | $63,500.00 | $0.00 | See FINRA Report |
| Joseph Peter Zuber | 2384873 | 1 | 10/26/2010 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |