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 |
|---|---|---|---|---|---|---|---|---|
| Alexandre Maltez | 6506116 | 1 | 07/05/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Maria Carolina Estes | 5912693 | 1 | 06/30/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Rindner | 6536002 | 1 | 06/23/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kent William Scholten | 2742070 | 1 | 06/14/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Robert Geyer | 5691141 | 1 | 06/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen J Ensley | 6641934 | 1 | 06/12/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Justin Edward Myers | 5868828 | 1 | 06/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrea Lynn Ratoza | 6861337 | 1 | 05/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kavi Ziad Fulena | 6861339 | 1 | 05/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lee Allen Wells | 6166726 | 1 | 05/24/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |