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 |
|---|---|---|---|---|---|---|---|---|
| John Michael Shupenko | 2613558 | 1 | 03/02/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Richard Janus | 2899680 | 5 | 02/26/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David M Wilson | 4766367 | 4 | 02/11/2020 | Customer Dispute | Settled | $247,924.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 02/10/2020 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |
| Kristin Ashley Haynes | 6558004 | 1 | 02/07/2020 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Barrett C Brightwell | 4973342 | 2 | 01/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Lawrence Crews | 4283558 | 1 | 01/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sean P Keenan | 5383708 | 1 | 01/24/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James S Morner | 4977718 | 2 | 01/17/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ann T Onhaizer | 1703798 | 3 | 01/10/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |