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 |
|---|---|---|---|---|---|---|---|---|
| Maria McGarey Johnson | 2495165 | 1 | 09/19/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ramin Naghshineh | 6454986 | 1 | 09/17/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sarah M Skibo | 6636281 | 1 | 09/13/2022 | Customer Dispute | Closed-No Action | $8,962.73 | $0.00 | See FINRA Report |
| Behnam Beheshti | 6319551 | 1 | 09/13/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 09/06/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cameron Jay Forrey | 6218721 | 1 | 08/30/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher R Evanson | 5710652 | 2 | 08/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Perry Arthur Guthrie | 5587598 | 1 | 08/25/2022 | Customer Dispute | Denied | $48,618.00 | $0.00 | See FINRA Report |
| Melissa P Spickler | 719397 | 5 | 08/25/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Melissa P Spickler | 719397 | 5 | 08/25/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |