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 |
|---|---|---|---|---|---|---|---|---|
| Debra Jorgensen | 1303744 | 1 | 05/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay Matthew McHargue | 729516 | 3 | 05/20/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chris Angelino | 2685937 | 1 | 05/19/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric B Candelori | 1678961 | 3 | 05/08/2015 | Customer Dispute | Settled | $638,350.00 | $0.00 | See FINRA Report |
| John Victor Heflebower | 2000072 | 2 | 05/06/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Myron David Stayman | 1391422 | 6 | 05/05/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wasana Pangan | 5125929 | 1 | 05/05/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| H T Duffy | 2679919 | 1 | 05/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas Legate Howard | 1019738 | 3 | 04/30/2015 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Michael A Goldstein | 2701827 | 1 | 04/29/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |