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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Jonathan Dykas | 2281381 | 2 | 09/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William J O'Shaughnessey | 1739562 | 4 | 09/22/2022 | Customer Dispute | Denied | $394,534.00 | $0.00 | See FINRA Report |
| Nader Tamadon | 4627899 | 1 | 09/20/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ramin Naghshineh | 6454986 | 1 | 09/17/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mariam Adams | 6433787 | 1 | 09/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher R Evanson | 5710652 | 2 | 08/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph C Bowden | 5326755 | 1 | 08/11/2022 | Customer Dispute | Denied | $140,000.00 | $0.00 | See FINRA Report |
| Jason Earl Harsh | 6186479 | 2 | 07/19/2022 | Customer Dispute | Denied | $27,500.00 | $0.00 | See FINRA Report |
| Maria Carolina Estes | 5912693 | 1 | 06/30/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Douglas N Breitenbach | 5165366 | 1 | 06/20/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |