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 |
|---|---|---|---|---|---|---|---|---|
| Nancy Harris Williams | 1286536 | 1 | 04/21/2017 | Customer Dispute | Settled | $38,352.00 | $0.00 | See FINRA Report |
| Joseph R Boskus | 4077971 | 2 | 04/05/2017 | Customer Dispute | Settled | $1,693,620.00 | $0.00 | See FINRA Report |
| Lance Allen Lohr | 2788207 | 2 | 03/24/2017 | Customer Dispute | Settled | $1,910,190.00 | $0.00 | See FINRA Report |
| Susan E Regan | 2119654 | 2 | 03/22/2017 | Customer Dispute | Settled | $855,000.00 | $0.00 | See FINRA Report |
| Elvyn M Sanchez | 6069817 | 2 | 03/17/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Vincent Dipaola | 5012003 | 1 | 03/16/2017 | Customer Dispute | Settled | $97,000.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 03/10/2017 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 03/10/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Julia Christine Gorman | 2210777 | 1 | 02/15/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 02/07/2017 | Customer Dispute | Settled | $151,000.00 | $0.00 | See FINRA Report |