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 |
|---|---|---|---|---|---|---|---|---|
| Cass J Jenkins | 4304584 | 3 | 07/24/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nelson Wingate Heinrichs | 2677013 | 1 | 07/23/2014 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Carl Peter Neuberger | 732053 | 3 | 07/22/2014 | Customer Dispute | Settled | $9,113.36 | $0.00 | See FINRA Report |
| Daniel Lawrence Gardner | 2452389 | 2 | 07/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Patrick Truitt | 1201845 | 2 | 07/11/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Andrew Jones | 5079941 | 2 | 07/08/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 07/08/2014 | Customer Dispute | Settled | $263,983.00 | $0.00 | See FINRA Report |
| Michael Thomas Jones | 2222919 | 3 | 07/08/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Lawrence Gilbert MacY | 1613186 | 2 | 07/07/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 07/03/2014 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |