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 |
|---|---|---|---|---|---|---|---|---|
| Gregory A Degraeve | 5722861 | 1 | 12/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark F. Francis Hales | 1391514 | 5 | 11/22/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Christopher Dupuis | 4818837 | 2 | 11/13/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Edward Weisenfels | 2291571 | 1 | 10/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine Kelly Larsen | 2540556 | 2 | 10/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Walter Robert Josiah | 2635170 | 1 | 10/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Diane Suzanne Valenzuela | 2105685 | 1 | 10/07/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Chatham Magee | 5598843 | 1 | 10/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Jay Marston | 2344305 | 2 | 09/30/2022 | Customer Dispute | Denied | $57,380.00 | $0.00 | See FINRA Report |
| Leo Norvin Meneses | 4216335 | 2 | 09/29/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |