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 |
|---|---|---|---|---|---|---|---|---|
| Richard K Pettibone | 2846638 | 1 | 12/27/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Y Kim | 4976347 | 1 | 12/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Spencer H Adkisson | 7226002 | 1 | 12/22/2021 | Customer Dispute | Closed-No Action | $15,000.00 | $0.00 | See FINRA Report |
| Kenneth J Michin | 6046565 | 1 | 12/20/2021 | Customer Dispute | Denied | $277,000.00 | $0.00 | See FINRA Report |
| Ruy de Barros MacIel | 5605251 | 1 | 12/15/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| David Joseph Teolis | 2001981 | 1 | 12/14/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard P Gentile | 7212326 | 1 | 12/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter I Baldeo | 6023171 | 2 | 11/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christina B Henderson | 5357805 | 1 | 11/15/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lefranc J Joseph | 6092379 | 1 | 11/15/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |