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 |
|---|---|---|---|---|---|---|---|---|
| Spencer N Lambright | 6402083 | 1 | 03/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carrie Ann Riordan | 6678474 | 1 | 03/15/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Andrew Massey | 2993074 | 1 | 03/08/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frank Mignoni | 5869409 | 1 | 03/08/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Reid Gilmore | 1500153 | 1 | 03/08/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cass J Jenkins | 4304584 | 3 | 03/08/2022 | Customer Dispute | Settled | $2,300,000.00 | $0.00 | See FINRA Report |
| Joseph D Ilg | 5980783 | 1 | 03/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Veena Garg | 4469945 | 2 | 03/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeff C Jen | 3107738 | 2 | 02/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Patrick Tosha | 5970854 | 3 | 02/25/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |