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 |
|---|---|---|---|---|---|---|---|---|
| Jay Glenn Thornton | 1064843 | 1 | 01/09/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Gregory Barth | 13880 | 8 | 01/09/2014 | Customer Dispute | Denied | $6,702.00 | $0.00 | See FINRA Report |
| Ban Tran | 2757627 | 1 | 01/08/2014 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Evan Stuart Kendis | 2911521 | 2 | 12/30/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Eric Thomas Saddler | 2942856 | 1 | 12/23/2013 | Customer Dispute | Denied | $11,560.10 | $0.00 | See FINRA Report |
| Bryce R Mott | 5963406 | 1 | 12/19/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kelley Patricia Sullivan | 2935404 | 1 | 12/17/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel R Ellison | 2320115 | 6 | 12/17/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Alvin Anil Murgai | 2072633 | 3 | 12/17/2013 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Daniel Lawrence Gardner | 2452389 | 2 | 12/16/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |