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 |
|---|---|---|---|---|---|---|---|---|
| Lukasz G Janko | 6557915 | 1 | 01/20/2023 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Penelope Donnelly | 2729915 | 3 | 01/10/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scott Alan Harris | 4400643 | 1 | 01/03/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert John Schuldt | 2483353 | 5 | 12/15/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Derek Snaith McDaniel | 7023903 | 1 | 12/15/2022 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| G S Schein | 2567105 | 1 | 12/13/2022 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Gregory A Degraeve | 5722861 | 1 | 12/12/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michele Turk | 4653711 | 2 | 11/30/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Gerard C O'Connell | 4069478 | 1 | 10/24/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Chatham Magee | 5598843 | 1 | 10/02/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |