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 |
|---|---|---|---|---|---|---|---|---|
| Fernando Lopez | 1655180 | 1 | 02/24/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Nash | 1126026 | 3 | 02/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Milton Ken Tanaka | 2499204 | 2 | 02/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Getz McMullen | 2158137 | 1 | 02/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Valeriano Parayao | 4635765 | 3 | 02/03/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Heather T Cleary | 5560835 | 1 | 01/31/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Herman Watson | 5412377 | 1 | 01/31/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert L D'Auteuil | 6009593 | 1 | 01/21/2022 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Mojgan Mohammadi | 6686477 | 1 | 01/19/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Terrence B Byrnes | 4254032 | 1 | 01/19/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |