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FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated

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.

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Displaying 221-230 out of 4,068 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Mary Jo G Harper1846290311/12/2021Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Deborah L Smogor6566361110/27/2021Customer DisputeSettled$0.00$0.00See FINRA Report
Ted Candella3171607110/08/2021Customer DisputeSettled$1,600,000.00$0.00See FINRA Report
John Drennan5431633110/08/2021Customer DisputeSettled$1,600,000.00$0.00See FINRA Report
Jarred M Collins5077516110/08/2021Customer DisputeSettled$1,600,000.00$0.00See FINRA Report
John Herbert Hemmens4399632109/09/2021Customer DisputeClosed-No Action$0.00$0.00See FINRA Report
Phillip Mark Midas6113528108/31/2021Customer DisputeSettled$0.00$0.00See FINRA Report
Craig Garth Hacker1403163208/23/2021Customer DisputeSettled$485,149.00$0.00See FINRA Report
Michael G Hacker4654379108/23/2021Customer DisputeDenied$47,149.00$0.00See FINRA Report
Brian Michael Sokalski6728003108/17/2021Customer DisputeDenied$14,000.00$0.00See FINRA Report

4,068 Results

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