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 |
|---|---|---|---|---|---|---|---|---|
| N Sean Longo | 4841588 | 1 | 01/06/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Destefano | 5353806 | 1 | 01/06/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Leali | 861796 | 3 | 12/26/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roy Alexander Cook | 1608494 | 2 | 12/23/2014 | Customer Dispute | Denied | $479,816.00 | $0.00 | See FINRA Report |
| Carol Floyd Ham | 2832668 | 4 | 12/04/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joel Davila | 4858812 | 1 | 12/03/2014 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Juan Antonio Braschi | 1753315 | 6 | 12/03/2014 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Jason Andrew Jones | 5079941 | 2 | 12/02/2014 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Jones | 2222919 | 3 | 12/02/2014 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Charles Leo Sergewick | 1672773 | 2 | 11/24/2014 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |