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 |
|---|---|---|---|---|---|---|---|---|
| Nancy Parrett | 5459016 | 1 | 07/10/2024 | Customer Dispute | Settled | $11,949.00 | $0.00 | See FINRA Report |
| Kristopher Nintzel-O'Hare | 6256508 | 1 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alex E Paredes-Malaga | 7191576 | 1 | 06/26/2024 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Chad Christopher Zawacki | 2996799 | 2 | 06/19/2024 | Customer Dispute | Denied | $166,000.00 | $0.00 | See FINRA Report |
| Michael W Lawrence | 4225910 | 2 | 06/19/2024 | Customer Dispute | Denied | $166,000.00 | $0.00 | See FINRA Report |
| Mary M Mc Dougall | 1033553 | 4 | 06/19/2024 | Customer Dispute | Denied | $166,000.00 | $0.00 | See FINRA Report |
| James Landeros | 6447130 | 1 | 06/18/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Paul Darius Raehpour | 4508598 | 4 | 06/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard A Barker | 6091770 | 1 | 05/23/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Isaiah Thomas Williams | 6211219 | 1 | 05/22/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |