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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Dale Reid | 3103262 | 2 | 10/14/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew George Gergatsoulis | 1912483 | 2 | 10/14/2022 | Customer Dispute | Pending | $35,494.30 | $0.00 | See FINRA Report |
| Ricky Augustus Bandermann | 1613847 | 3 | 09/29/2022 | Customer Dispute | Pending | $297,414.00 | $0.00 | See FINRA Report |
| Adam Jesse Gurien | 2302341 | 5 | 09/28/2022 | Customer Dispute | Pending | $650,000.00 | $0.00 | See FINRA Report |
| Maurice Devon Kelley | 6482604 | 1 | 09/26/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ryan B Engelbrecht | 5353384 | 2 | 09/23/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Edward G Rakosky | 5645469 | 2 | 09/22/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 10 | 09/06/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Alireza S Hashemi | 4709524 | 2 | 09/05/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Duray Timothy Taylor | 5013045 | 2 | 08/19/2022 | Customer Dispute | Pending | $1,900,000.00 | $0.00 | See FINRA Report |