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 |
|---|---|---|---|---|---|---|---|---|
| James M Wood | 5517060 | 1 | 07/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sheila Lynn Carlson | 3094999 | 4 | 07/18/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Wade Lapietra | 4374155 | 3 | 07/16/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward David Clementson | 4780096 | 1 | 07/16/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James G Babineaux | 1323951 | 2 | 06/29/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rosanna Lucero-Torrez | 1251564 | 2 | 06/29/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 06/27/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Stewart Douglass | 2557170 | 1 | 06/25/2018 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Colleen Marie Di Paola | 4340356 | 1 | 06/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ralph Michael Byer | 1038411 | 7 | 06/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |