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 |
|---|---|---|---|---|---|---|---|---|
| Sean Cook | 4150312 | 3 | 11/09/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shannon Lee Barnwell | 3108019 | 2 | 11/08/2016 | Customer Dispute | Settled | $772,894.00 | $0.00 | See FINRA Report |
| Julian C Lopez | 3172924 | 1 | 11/08/2016 | Customer Dispute | Settled | $772,894.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 11/04/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Matthew Goodwin | 5603687 | 1 | 11/03/2016 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Patrick J Walsh | 872941 | 3 | 11/01/2016 | Customer Dispute | Denied | $37,283,100.00 | $0.00 | See FINRA Report |
| Christian P Raynor | 3122277 | 1 | 10/31/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jaime Rodolfo Court | 1914417 | 1 | 10/26/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jennifer S Yoon | 3076614 | 3 | 10/25/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Dissmore Wright | 2964935 | 2 | 10/19/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |