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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Elliott Janssen | 2947034 | 1 | 10/18/2010 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| John C Larson | 4123721 | 2 | 10/18/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Eric B Candelori | 1678961 | 3 | 10/18/2010 | Customer Dispute | Settled | $186,325.00 | $0.00 | See FINRA Report |
| Aaron Robert Hagwood | 2750811 | 1 | 10/15/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 10/11/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 10/07/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Heywood Tellstone | 2361650 | 2 | 10/05/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martin Clark Brown | 710725 | 1 | 10/05/2010 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Albert Dobrushkin | 1455793 | 2 | 10/05/2010 | Customer Dispute | Denied | $5,869.60 | $0.00 | See FINRA Report |
| Gary Alan Gross | 2104804 | 4 | 10/01/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |