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 |
|---|---|---|---|---|---|---|---|---|
| John Mawson | 2494729 | 2 | 04/18/2016 | Customer Dispute | Denied | $140,275.00 | $0.00 | See FINRA Report |
| Jeffrey Scott Hanson | 2044884 | 5 | 04/14/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy J Mosley | 5333488 | 1 | 04/13/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew B Cunningham | 5614081 | 1 | 04/11/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 04/05/2016 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Mark Eben Lilley | 2775770 | 6 | 04/05/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Theresa M Dillard | 1883367 | 3 | 03/31/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark C McMahon | 2992194 | 1 | 03/31/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Joseph McGee | 2763040 | 2 | 03/28/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William J Liebowitz | 1555491 | 4 | 03/21/2016 | Customer Dispute | Denied | $67,496.00 | $0.00 | See FINRA Report |