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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas A Peterson | 5985784 | 1 | 04/22/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gregory Paul Suzio | 5309403 | 1 | 04/04/2024 | Customer Dispute | Pending | $499,000.00 | $0.00 | See FINRA Report |
| Ariana Ivelisses Olive | 6418405 | 1 | 03/15/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jennifer Lynn Oprinski | 4512244 | 3 | 03/15/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ronald J Kummerer | 4344687 | 1 | 03/15/2024 | Customer Dispute | Pending | $315,872.00 | $0.00 | See FINRA Report |
| Jennifer Marie Abate | 4731791 | 1 | 03/08/2024 | Customer Dispute | Pending | $75,000.00 | $0.00 | See FINRA Report |
| Andre Lee | 6979193 | 1 | 03/07/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elamparithi Rajaguru | 6399655 | 1 | 03/05/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Per C Furmark | 1617854 | 1 | 03/05/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Winthrop Outtrim | 830045 | 2 | 02/29/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |