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 |
|---|---|---|---|---|---|---|---|---|
| Brent Allen Brown | 2227346 | 1 | 10/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Joe | 2519573 | 2 | 10/17/2016 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Omprakash Tom Singh | 3119078 | 1 | 10/07/2016 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Ryan Justin Amador | 4325907 | 2 | 10/05/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 10/04/2016 | Customer Dispute | Settled | $688,000.00 | $0.00 | See FINRA Report |
| Clayton Robert Gibson | 3258932 | 1 | 09/28/2016 | Customer Dispute | Settled | $419,845.00 | $0.00 | See FINRA Report |
| Ronald Louis Ganser | 1319734 | 2 | 09/28/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Iain Andrew Sharpe | 3210728 | 3 | 09/26/2016 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Cameron Lind Markley | 4527461 | 1 | 09/26/2016 | Customer Dispute | Denied | $8,966.02 | $0.00 | See FINRA Report |
| Scott Jeffrey Spiegle | 2774950 | 1 | 09/23/2016 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |