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 |
|---|---|---|---|---|---|---|---|---|
| Richard J Neuman | 1092604 | 1 | 09/14/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aubrey W Lee | 1685532 | 3 | 08/30/2023 | Customer Dispute | Settled | $122,977.00 | $0.00 | See FINRA Report |
| Kevin J Rice | 2494330 | 1 | 08/15/2023 | Customer Dispute | Settled | $5,624.86 | $0.00 | See FINRA Report |
| Anthony Richard Bottini | 5567091 | 2 | 08/15/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Maylan Studart-Anders | 7059162 | 1 | 08/04/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Howard Beckert | 1689385 | 1 | 07/03/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John James Forster | 1303832 | 6 | 06/12/2023 | Customer Dispute | Settled | $272,000.00 | $0.00 | See FINRA Report |
| Alexander Cross Callahan | 2754040 | 1 | 05/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Edward Ryall | 408065 | 4 | 03/28/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Michael Nash | 1126026 | 3 | 02/02/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |