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 |
|---|---|---|---|---|---|---|---|---|
| Ivan Williams | 5610678 | 1 | 01/02/2020 | Customer Dispute | Denied | $16,500.00 | $0.00 | See FINRA Report |
| Benjamin R Jordan | 6980607 | 2 | 12/26/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jon Scott Richman | 2804404 | 2 | 12/20/2019 | Customer Dispute | Denied | $105,000.00 | $0.00 | See FINRA Report |
| Brian Alden Fields | 4487589 | 1 | 12/06/2019 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| John Joseph Brienza | 1652520 | 5 | 11/08/2019 | Customer Dispute | Denied | $32,437.10 | $0.00 | See FINRA Report |
| Pamela S Wise | 2904307 | 1 | 11/07/2019 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 10/28/2019 | Customer Dispute | Settled | $490,000.00 | $0.00 | See FINRA Report |
| Juan Antonio Braschi | 1753315 | 6 | 10/22/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Daren Michael Frankeberger | 3096364 | 2 | 10/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Cole Gibson | 1190829 | 1 | 10/07/2019 | Customer Dispute | Denied | $200,908.00 | $0.00 | See FINRA Report |