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 |
|---|---|---|---|---|---|---|---|---|
| Marcus J Laube | 2727972 | 3 | 01/16/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sean Arlington Kienzle | 5164154 | 2 | 12/27/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip Wayne Jones | 2445213 | 1 | 12/22/2023 | Customer Dispute | Pending | $5,000,000.00 | $0.00 | See FINRA Report |
| Daniel R Ellison | 2320115 | 6 | 12/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Spencer M Miller | 6273107 | 3 | 12/14/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brandon Theodore Asher | 5924831 | 1 | 12/14/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randy Harris Schild | 2410144 | 2 | 12/11/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Carrano | 4670490 | 1 | 12/08/2023 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Spencer M Miller | 6273107 | 3 | 12/07/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dustin Andrew Smith | 5245206 | 1 | 12/01/2023 | Customer Dispute | Denied | $6,440.30 | $0.00 | See FINRA Report |