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 |
|---|---|---|---|---|---|---|---|---|
| Michael Bruce Bates | 4119051 | 1 | 11/22/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| McFaddin Moise | 4334645 | 2 | 11/17/2020 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Joseph George Corcoran | 708646 | 2 | 11/05/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark D Lohmann | 5251808 | 1 | 10/26/2020 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| David Tyler Gingerella | 5924176 | 1 | 10/20/2020 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| John Christopher Gatto | 1415454 | 7 | 09/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Patrick Donnelly | 2374887 | 7 | 09/16/2020 | Customer Dispute | Final | $0.00 | $0.00 | See FINRA Report |
| Jeremy Charles Newton | 4206456 | 2 | 09/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Di Jin | 6840980 | 1 | 09/03/2020 | Customer Dispute | Settled | $30,646.00 | $0.00 | See FINRA Report |
| Emilio Guajardo | 4871764 | 5 | 09/02/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |