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 |
|---|---|---|---|---|---|---|---|---|
| Robert Morris Gorelick | 4415734 | 1 | 07/29/2015 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 07/24/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 07/23/2015 | Customer Dispute | Settled | $1,644,000.00 | $0.00 | See FINRA Report |
| John H Anderson, Jr | 5632387 | 1 | 07/22/2015 | Customer Dispute | Settled | $271,000.00 | $0.00 | See FINRA Report |
| Addison Michael Sherman | 1261217 | 3 | 07/21/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Cohen | 2833942 | 1 | 07/06/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Seth Kampf | 826362 | 3 | 07/01/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David B Kidd | 1576325 | 1 | 06/30/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Min Fang | 3135957 | 1 | 06/29/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rick Baker | 2106010 | 3 | 06/28/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |