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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Richard Fleming | 3082073 | 1 | 03/22/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 03/18/2010 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Simon Michael Wilford | 4356866 | 1 | 03/16/2010 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| William Lynn Porter | 2518308 | 2 | 03/16/2010 | Customer Dispute | Denied | $43,377.00 | $0.00 | See FINRA Report |
| Steven Kenneth Porter | 1132229 | 3 | 03/09/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Cornelius Troutman | 4312155 | 2 | 03/09/2010 | Customer Dispute | Settled | $1,438.39 | $0.00 | See FINRA Report |
| Peter Vincent Arbogast | 1421295 | 1 | 03/09/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Corbin | 4011122 | 1 | 03/08/2010 | Customer Dispute | Denied | $16,000.00 | $0.00 | See FINRA Report |
| Gary Michael Cohen | 830009 | 2 | 02/25/2010 | Customer Dispute | Denied | $32,000.00 | $0.00 | See FINRA Report |
| Michael James Wollbrink | 3230310 | 1 | 02/24/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |