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 |
|---|---|---|---|---|---|---|---|---|
| George Hanna Salem | 1709923 | 1 | 07/29/2010 | Customer Dispute | Denied | $17,106.40 | $0.00 | See FINRA Report |
| Michaela Monika Catlin | 1286374 | 2 | 07/26/2010 | Customer Dispute | Settled | $98,258.00 | $0.00 | See FINRA Report |
| Susan E Acker | 2814482 | 1 | 07/26/2010 | Customer Dispute | Denied | $195,000.00 | $0.00 | See FINRA Report |
| Brian Dean Ludwick | 1052091 | 4 | 07/26/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chad R Wilcott | 4997603 | 1 | 07/22/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Charles David Ruch | 1189159 | 1 | 07/19/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Juan Carlos Estarellas Sabater | 3248002 | 1 | 07/15/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Brian Carpentier | 3143070 | 2 | 07/13/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas E Moynihan | 2377224 | 2 | 07/12/2010 | Customer Dispute | Settled | $6,825.00 | $0.00 | See FINRA Report |
| Declan J Mahar | 1233032 | 3 | 07/09/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |