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 |
|---|---|---|---|---|---|---|---|---|
| Leo Norvin Meneses | 4216335 | 2 | 04/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Raoul P Shroff | 4032011 | 2 | 04/24/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Mark Ehrlich | 846181 | 1 | 04/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Diane Patricia Davis | 2590939 | 2 | 04/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Richard Janus | 2899680 | 5 | 04/23/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Peter Henriques | 5014926 | 1 | 04/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bruce Daniel Huggins | 1444889 | 6 | 04/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Henry Berntsen | 1480860 | 3 | 04/21/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Wade Mitchell Wolfe | 2176762 | 3 | 04/21/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| William Michael Pressman | 2868675 | 4 | 04/21/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |