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 |
|---|---|---|---|---|---|---|---|---|
| Robert W Loring | 818866 | 1 | 02/27/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kyle J Kirkham | 5221648 | 1 | 02/14/2024 | Customer Dispute | Pending | $9,000,000.00 | $0.00 | See FINRA Report |
| Zachary Palmer Floberg | 5135060 | 1 | 02/08/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Teena M Bourque | 2687982 | 1 | 02/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Nicole Behrens | 2162965 | 1 | 02/05/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Charles Geraci | 7248421 | 1 | 02/02/2024 | Customer Dispute | Closed-No Action | $18,405.40 | $0.00 | See FINRA Report |
| Darel Annise Mitchell | 6819970 | 1 | 02/01/2024 | Customer Dispute | Closed-No Action | $5,500.00 | $0.00 | See FINRA Report |
| Joseph C Bowden | 5326755 | 1 | 01/31/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Thomas Sinsigalli | 2178808 | 3 | 01/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Edwin Jacobs | 1405497 | 2 | 01/20/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |