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 |
|---|---|---|---|---|---|---|---|---|
| Robert John Kostigen | 1203410 | 4 | 09/04/2009 | Customer Dispute | Award / Judgment | $800,000.00 | $0.00 | See FINRA Report |
| Richard Edward Ryall | 408065 | 4 | 09/03/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Scott Christopher Hunter | 4070030 | 1 | 09/01/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jorge Llamas | 3241370 | 1 | 08/31/2009 | Customer Dispute | Settled | $7,000,000.00 | $0.00 | See FINRA Report |
| Bruce Jonathan Diamond | 2645020 | 1 | 08/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Lee Kenney | 4201345 | 1 | 08/21/2009 | Customer Dispute | Closed-No Action | $19,172.20 | $0.00 | See FINRA Report |
| Gordon T Black | 4360094 | 1 | 08/18/2009 | Customer Dispute | Settled | $1,940,000.00 | $0.00 | See FINRA Report |
| Bruce Daniel Huggins | 1444889 | 6 | 08/18/2009 | Customer Dispute | Award / Judgment | $311,624.00 | $128,671.00 | See FINRA Report |
| Nathan C Carpenter | 41318 | 2 | 08/17/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francine Christine Eaves-Ranft | 1806805 | 1 | 08/14/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |