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 |
---|---|---|---|---|---|---|---|---|
Mary Jo G Harper | 1846290 | 3 | 11/12/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
Deborah L Smogor | 6566361 | 1 | 10/27/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Ted Candella | 3171607 | 1 | 10/08/2021 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
John Drennan | 5431633 | 1 | 10/08/2021 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
Jarred M Collins | 5077516 | 1 | 10/08/2021 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
John Herbert Hemmens | 4399632 | 1 | 09/09/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
Phillip Mark Midas | 6113528 | 1 | 08/31/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
Craig Garth Hacker | 1403163 | 2 | 08/23/2021 | Customer Dispute | Settled | $485,149.00 | $0.00 | See FINRA Report |
Michael G Hacker | 4654379 | 1 | 08/23/2021 | Customer Dispute | Denied | $47,149.00 | $0.00 | See FINRA Report |
Brian Michael Sokalski | 6728003 | 1 | 08/17/2021 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |