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 |
|---|---|---|---|---|---|---|---|---|
| Eric Robert Geyer | 5691141 | 1 | 06/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Danny Zuhair Kamal | 3197594 | 3 | 05/31/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrea Lynn Ratoza | 6861337 | 1 | 05/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lee Allen Wells | 6166726 | 1 | 05/24/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Mark Tomlinson | 6788124 | 1 | 05/20/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Benjamin Thomas Jolly | 4636261 | 1 | 05/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Steven Whiting | 5189115 | 1 | 05/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel Patrick Whiting | 5771724 | 1 | 05/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Andrew Rial | 2276888 | 1 | 04/18/2022 | Customer Dispute | Denied | $8,652.20 | $0.00 | See FINRA Report |
| Shelley Marian Adams | 2610306 | 1 | 04/05/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |