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 |
|---|---|---|---|---|---|---|---|---|
| Brian Michael Shambo | 3208852 | 1 | 01/19/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brett Marek | 4258292 | 1 | 01/15/2016 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Michael G Ulrich | 3276494 | 4 | 01/14/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martin Eric Schwartz | 1185249 | 5 | 01/13/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carl Alex Cascella | 874756 | 1 | 01/12/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Melaney Friesen Shaum | 4067225 | 2 | 01/06/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Margarita Figueroa | 1560872 | 3 | 12/30/2015 | Customer Dispute | Settled | $490,742.00 | $0.00 | See FINRA Report |
| Catherine Mercedes Santiago Toca | 1554210 | 5 | 12/30/2015 | Customer Dispute | Settled | $490,742.00 | $0.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 12/28/2015 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |
| George Rodney Bassett | 5031604 | 1 | 12/18/2015 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |