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 |
|---|---|---|---|---|---|---|---|---|
| Warren Chang | 5783926 | 3 | 04/25/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Emilio Guajardo | 4871764 | 5 | 04/22/2022 | Customer Dispute | Settled | $188,000.00 | $0.00 | See FINRA Report |
| John Andrew Rial | 2276888 | 1 | 04/18/2022 | Customer Dispute | Denied | $8,652.20 | $0.00 | See FINRA Report |
| John P Power | 6141028 | 2 | 04/13/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shelley Marian Adams | 2610306 | 1 | 04/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dwayne Allan Ross | 1852884 | 4 | 03/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Emilio Guajardo | 4871764 | 5 | 03/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrea Fusero | 6243599 | 1 | 03/22/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Janna Rosenberg | 3141329 | 1 | 03/19/2022 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Frank A Robertazzi | 5424152 | 1 | 03/19/2022 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |