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 |
|---|---|---|---|---|---|---|---|---|
| James Wesley Lewis | 1125729 | 5 | 02/19/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Wesley Lewis | 1125729 | 5 | 02/19/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey B Acuff | 2716981 | 1 | 02/19/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jorge A Gonzalez | 5721239 | 2 | 02/13/2014 | Customer Dispute | Denied | $1,806,180.00 | $0.00 | See FINRA Report |
| Philip B Pasho | 5118682 | 1 | 02/10/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ofer Ouriel | 1797577 | 1 | 02/06/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael E Gorsky | 5012020 | 1 | 02/06/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Nicholson | 2437113 | 2 | 02/04/2014 | Customer Dispute | Denied | $16,370.00 | $0.00 | See FINRA Report |
| Linhvien Tran | 4371375 | 1 | 02/03/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean J Driscoll | 2406299 | 2 | 02/03/2014 | Customer Dispute | Denied | $44,108.00 | $0.00 | See FINRA Report |