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 |
|---|---|---|---|---|---|---|---|---|
| Christopher R Evanson | 5710652 | 2 | 03/19/2015 | Customer Dispute | Settled | $6,215.00 | $0.00 | See FINRA Report |
| David Jay Young | 1600043 | 5 | 03/18/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Jay Young | 1600043 | 5 | 03/18/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alfred Aloysius Smith | 2084507 | 1 | 03/16/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John David Cornell | 4038552 | 2 | 03/13/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas P McCormick | 5932750 | 2 | 03/13/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Charles Petersen | 1841863 | 2 | 03/11/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pj Polokoff | 1289047 | 1 | 03/06/2015 | Customer Dispute | Denied | $7,419.95 | $0.00 | See FINRA Report |
| Matthew Neil Liebman | 3234252 | 2 | 03/02/2015 | Customer Dispute | Settled | $20,000,000.00 | $0.00 | See FINRA Report |
| Kathleen A Richards | 1782208 | 1 | 03/02/2015 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |