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 |
|---|---|---|---|---|---|---|---|---|
| Dennis John Omalley | 2157592 | 1 | 05/10/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ellen Hammer | 5910966 | 1 | 05/06/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mariana Ng Meyerson | 5459629 | 1 | 05/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Richard Bottini | 5567091 | 2 | 05/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Logan R Elfreich | 6329458 | 1 | 04/28/2021 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| William Howard Tallman | 3218066 | 1 | 04/14/2021 | Customer Dispute | Denied | $12,097.60 | $0.00 | See FINRA Report |
| Valente Orozco-Villasenor | 7159427 | 1 | 04/11/2021 | Customer Dispute | Settled | $11,279.00 | $0.00 | See FINRA Report |
| Patrick S Wayland | 5069578 | 1 | 04/05/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Murray C Kinlaw | 6112978 | 1 | 03/31/2021 | Customer Dispute | Settled | $2,212.21 | $0.00 | See FINRA Report |
| Chad Joseph David | 2164762 | 2 | 03/18/2021 | Customer Dispute | Dismissed | $0.00 | $0.00 | See FINRA Report |