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 |
|---|---|---|---|---|---|---|---|---|
| Heather Peterson Weber | 2911524 | 10 | 05/01/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 05/01/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Anuj Sheth | 6261888 | 1 | 05/01/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan Chang | 5089614 | 1 | 04/28/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Evan Rubin | 2176696 | 3 | 04/27/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nancy Harris Williams | 1286536 | 1 | 04/21/2017 | Customer Dispute | Settled | $38,352.00 | $0.00 | See FINRA Report |
| Daryl W Dehn | 4778271 | 2 | 04/11/2017 | Customer Dispute | Denied | $16,393.00 | $0.00 | See FINRA Report |
| Joseph R Boskus | 4077971 | 2 | 04/05/2017 | Customer Dispute | Settled | $1,693,620.00 | $0.00 | See FINRA Report |
| Lance Allen Lohr | 2788207 | 2 | 03/24/2017 | Customer Dispute | Settled | $1,910,190.00 | $0.00 | See FINRA Report |
| Susan E Regan | 2119654 | 2 | 03/22/2017 | Customer Dispute | Settled | $855,000.00 | $0.00 | See FINRA Report |