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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Gonzalez Abella | 3207913 | 23 | 05/07/2014 | Customer Dispute | Settled | $602,912.00 | $0.00 | See FINRA Report |
| Thomas P McCormick | 5932750 | 2 | 05/06/2014 | Customer Dispute | Denied | $95,581.40 | $0.00 | See FINRA Report |
| John Harold Tyler | 5272438 | 1 | 05/02/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Carol Floyd Ham | 2832668 | 4 | 04/22/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael J Jalaty | 4375833 | 1 | 04/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew D Pimental | 5064108 | 1 | 04/11/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Wesley Lewis | 1125729 | 5 | 03/21/2014 | Customer Dispute | Settled | $28,764.50 | $0.00 | See FINRA Report |
| Josette C Rathbun | 1599693 | 1 | 03/20/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daryl Scott Planter | 2215599 | 2 | 03/18/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William J Zalewski | 1177889 | 2 | 03/17/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |