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 |
|---|---|---|---|---|---|---|---|---|
| Ralph Michael Byer | 1038411 | 7 | 02/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicolas B Castaneda | 2931902 | 6 | 01/31/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Pfenninger Dahme | 724394 | 4 | 01/30/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Wayne Higginbotham | 3266369 | 2 | 01/28/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Daniel J Memo | 3079244 | 6 | 01/23/2014 | Customer Dispute | Dismissed | $100,000.00 | $0.00 | See FINRA Report |
| Robert Alan Piplitz | 2591047 | 1 | 01/20/2014 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Bryan Michael Dunst | 4702996 | 2 | 01/14/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Timothy O'Connell | 1283449 | 2 | 01/13/2014 | Customer Dispute | Award / Judgment | $925,000.00 | $158,000.00 | See FINRA Report |
| Robert Martinez Robinson | 4791706 | 1 | 01/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Don Kay Shuck | 1209160 | 3 | 01/09/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |