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 |
|---|---|---|---|---|---|---|---|---|
| James Joseph Ertmann | 2747524 | 5 | 04/23/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph Ertmann | 2747524 | 5 | 04/23/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ali R Shemirani | 2770835 | 1 | 04/23/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Lawrence David Lankowsky | 711970 | 1 | 04/20/2001 | Customer Dispute | Closed-No Action | $148,000.00 | $0.00 | See FINRA Report |
| Donald Edward Atut | 2659341 | 1 | 04/20/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mary Ellen Garrett | 1344533 | 1 | 04/19/2001 | Customer Dispute | Closed-No Action | $229,000.00 | $0.00 | See FINRA Report |
| Adam Paul Hammer | 2860466 | 1 | 04/18/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay Matthew McHargue | 729516 | 3 | 04/18/2001 | Customer Dispute | Closed-No Action | $33,000.00 | $0.00 | See FINRA Report |
| Susan Lyle | 1980360 | 2 | 04/18/2001 | Customer Dispute | Settled | $26,437.30 | $0.00 | See FINRA Report |
| Brian T Sixt | 1439240 | 1 | 04/17/2001 | Customer Dispute | Settled | $320,000.00 | $0.00 | See FINRA Report |