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 |
|---|---|---|---|---|---|---|---|---|
| Nancy Parrett | 5459016 | 1 | 07/10/2024 | Customer Dispute | Settled | $11,949.00 | $0.00 | See FINRA Report |
| Richard A Barker | 6091770 | 1 | 05/23/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Gerald Thole | 4516390 | 2 | 05/20/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Jordahl Kleber | 3167807 | 1 | 04/22/2024 | Customer Dispute | Settled | $48,450.00 | $0.00 | See FINRA Report |
| Elamparithi Rajaguru | 6399655 | 1 | 03/05/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Zachary Palmer Floberg | 5135060 | 1 | 02/08/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Thomas Sinsigalli | 2178808 | 3 | 01/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randy Harris Schild | 2410144 | 2 | 12/11/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Clarisse Tur | 6093990 | 2 | 11/09/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 09/20/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |