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 |
|---|---|---|---|---|---|---|---|---|
| Scott O'Connell | 5493158 | 1 | 08/16/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Sharon | 1971997 | 2 | 07/29/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Edward Torres | 2255779 | 3 | 07/29/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John P Power | 6141028 | 2 | 07/02/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin Scott Calderon | 2542480 | 2 | 06/30/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Allan F Fiore | 4693083 | 1 | 06/23/2021 | Customer Dispute | Settled | $963,620.00 | $0.00 | See FINRA Report |
| Eduardo Andrew Martinez | 5950799 | 4 | 06/23/2021 | Customer Dispute | Settled | $77,000.00 | $0.00 | See FINRA Report |
| Matthew J Smith | 6112937 | 1 | 06/14/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Clarence Carlson | 1024633 | 9 | 05/18/2021 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Terri Emira Jones | 6709092 | 1 | 05/14/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |