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 |
|---|---|---|---|---|---|---|---|---|
| William G Meinel | 5318248 | 1 | 05/24/2022 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Daniel Mark Tomlinson | 6788124 | 1 | 05/20/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin Thomas Jolly | 4636261 | 1 | 05/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patrick Crowley | 4977791 | 1 | 05/11/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Patrick Whiting | 5771724 | 1 | 05/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Skyler Douglas Duncan | 7168469 | 1 | 05/05/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew Steven Whiting | 5189115 | 1 | 05/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Dunbar | 5410690 | 1 | 05/03/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Marc C Demello | 1753921 | 4 | 04/30/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David James House | 6803591 | 1 | 04/29/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |