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 |
|---|---|---|---|---|---|---|---|---|
| Stefano D Fava | 5384789 | 1 | 12/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Augustino Suafoa | 5738292 | 1 | 12/22/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Christopher Dupuis | 4818837 | 2 | 12/21/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Corey Kimble | 6243624 | 1 | 12/21/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Brian Scott Snelson | 2318993 | 1 | 12/21/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John R Dobay | 1790935 | 2 | 12/20/2018 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Bradford E Bugher | 2314651 | 2 | 12/19/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Michael Zanolli | 1854678 | 1 | 12/19/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jon Scott Richman | 2804404 | 2 | 12/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 12/17/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |