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 |
|---|---|---|---|---|---|---|---|---|
| Levar D Brown | 3241596 | 1 | 10/16/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jorge Gomez Del Campo | 2623958 | 2 | 10/14/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Thomas Gilbert | 3103253 | 1 | 10/09/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alison J Creekbaum | 4914178 | 1 | 10/08/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David William Prockter | 4153863 | 3 | 10/08/2014 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Carol Floyd Ham | 2832668 | 4 | 10/07/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Anthony Dileonardo | 2009596 | 5 | 10/07/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Donald Cunningham | 1398818 | 1 | 10/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose-Luis Moreno Aceves | 5084885 | 1 | 10/02/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kay F Sullivan | 4553064 | 2 | 09/30/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |