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 |
|---|---|---|---|---|---|---|---|---|
| Katie Q Pan | 3087937 | 1 | 03/25/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Alan Humbert | 1758111 | 2 | 03/24/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean M Gorman | 4292430 | 2 | 03/20/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Edward Sears | 2812991 | 1 | 03/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Melissa A Badlu | 4369186 | 1 | 03/19/2008 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Jordan Katz | 5008122 | 1 | 03/18/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason Daniel Patrick | 4332422 | 1 | 03/17/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Freeman Nevell | 2367210 | 4 | 03/17/2008 | Customer Dispute | Settled | $5,894.00 | $0.00 | See FINRA Report |
| I David Pelton | 1080881 | 7 | 03/17/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dante P Battaglia | 2710151 | 3 | 03/14/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |