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 |
|---|---|---|---|---|---|---|---|---|
| Austin N Wetsch | 4986020 | 1 | 04/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Wieslaw Piatas | 2953716 | 1 | 04/07/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wesley C Jones | 6490921 | 1 | 04/07/2020 | Customer Dispute | Settled | $8,000.00 | $0.00 | See FINRA Report |
| Peter Scott Izzo | 2943901 | 4 | 03/31/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David B Smith | 1383778 | 1 | 03/30/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Renee M Burns | 4949023 | 1 | 03/30/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sameera Gupta | 6441482 | 1 | 03/28/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Allen Meachum | 3277826 | 1 | 03/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Anthony Duffy | 7145673 | 1 | 03/25/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barrett C Brightwell | 4973342 | 2 | 03/24/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |