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 |
|---|---|---|---|---|---|---|---|---|
| Richard J Neuman | 1092604 | 1 | 09/14/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian W Sharp | 5567923 | 1 | 09/14/2023 | Customer Dispute | Denied | $47,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 09/06/2023 | Customer Dispute | Pending | $907,000.00 | $0.00 | See FINRA Report |
| David A Gilchrist | 5667616 | 1 | 08/30/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Aubrey W Lee | 1685532 | 3 | 08/30/2023 | Customer Dispute | Settled | $122,977.00 | $0.00 | See FINRA Report |
| Timothy James Calabrese | 1768853 | 1 | 08/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael T Persinski | 1478332 | 1 | 08/24/2023 | Customer Dispute | Pending | $56,000,000.00 | $0.00 | See FINRA Report |
| Angel Ferrer | 4220368 | 1 | 08/24/2023 | Customer Dispute | Pending | $56,000,000.00 | $0.00 | See FINRA Report |
| Kevin J Rice | 2494330 | 1 | 08/15/2023 | Customer Dispute | Settled | $5,624.86 | $0.00 | See FINRA Report |
| Anthony Richard Bottini | 5567091 | 2 | 08/15/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |