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 |
|---|---|---|---|---|---|---|---|---|
| Charles Leo Sergewick | 1672773 | 2 | 05/08/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason A Loiterstein | 4858408 | 1 | 04/27/2020 | Customer Dispute | Settled | $570,000.00 | $0.00 | See FINRA Report |
| Christopher Michael Mizzi | 2335020 | 2 | 04/26/2020 | Customer Dispute | Settled | $19,954.70 | $0.00 | See FINRA Report |
| Christopher Rayne Dunnavant | 2178539 | 2 | 04/24/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Edmund Goodwin | 2434504 | 4 | 04/23/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Kurtz Hunt | 5036197 | 3 | 04/22/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Licari | 1106018 | 3 | 04/17/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Goodworth | 3164578 | 3 | 04/16/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicole A Falciano | 4285169 | 1 | 04/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew J Eckenrode | 4849143 | 2 | 04/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |