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 |
|---|---|---|---|---|---|---|---|---|
| Frederick Moss | 1143601 | 1 | 08/15/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Ross Genovese | 5152632 | 1 | 08/09/2023 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| Quan The Luu | 4540155 | 2 | 08/09/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Maylan Studart-Anders | 7059162 | 1 | 08/04/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John C Larkin | 1144419 | 1 | 08/01/2023 | Customer Dispute | Denied | $137,038.00 | $0.00 | See FINRA Report |
| Aubrey Currington | 5954933 | 1 | 07/31/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gino Paulo Diaz Lopez | 6493520 | 1 | 07/26/2023 | Customer Dispute | Denied | $14,592.00 | $0.00 | See FINRA Report |
| Spencer M Miller | 6273107 | 3 | 07/25/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Howard Beckert | 1689385 | 1 | 07/03/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Allen Schmidt | 2831658 | 1 | 07/03/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |