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 |
|---|---|---|---|---|---|---|---|---|
| Matthew L Williams | 5352514 | 1 | 02/14/2016 | Customer Dispute | Settled | $31,074.00 | $0.00 | See FINRA Report |
| John Edward Glasgow | 1050127 | 1 | 02/09/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Andrew Keller | 717259 | 3 | 02/03/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Laura J Pilz | 4701905 | 1 | 02/03/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Michael Cohen | 830009 | 2 | 02/03/2016 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin J Fernandez | 6121932 | 1 | 02/03/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Mills | 1301076 | 2 | 02/02/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nina Lynne Abelman | 1424055 | 1 | 02/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cody Bryan Tellis | 5217512 | 1 | 01/24/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sheldon Walker | 6187585 | 1 | 01/20/2016 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |