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 |
|---|---|---|---|---|---|---|---|---|
| Zachary R Shave | 6193394 | 1 | 08/22/2022 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Duray Timothy Taylor | 5013045 | 2 | 08/19/2022 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |
| Todd C Hilinski | 4214288 | 1 | 08/12/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeff Cheng Jin | 4292519 | 2 | 08/11/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Jude Mattes | 711974 | 2 | 07/27/2022 | Customer Dispute | Settled | $556,567.00 | $0.00 | See FINRA Report |
| Justin Howard Baker Gillham | 4575519 | 2 | 07/20/2022 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Jason Earl Harsh | 6186479 | 2 | 07/19/2022 | Customer Dispute | Denied | $27,500.00 | $0.00 | See FINRA Report |
| Bradley J Kitchener | 4332465 | 1 | 07/15/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cynthia Vartan Keverian | 5404117 | 1 | 07/14/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bikram S Mehta | 4504565 | 1 | 07/12/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |