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 |
|---|---|---|---|---|---|---|---|---|
| Mark Eben Lilley | 2775770 | 6 | 05/12/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 04/25/2016 | Customer Dispute | Settled | $220,940.00 | $0.00 | See FINRA Report |
| Kenneth Herbert Albers | 1179032 | 3 | 04/21/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Timothy J Mosley | 5333488 | 1 | 04/13/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew B Cunningham | 5614081 | 1 | 04/11/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Eben Lilley | 2775770 | 6 | 04/05/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ryan Joseph McGee | 2763040 | 2 | 03/28/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Estuardo Clynes | 5089626 | 1 | 03/18/2016 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 03/08/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Todd Eric Dambrauskas | 4025318 | 3 | 02/19/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |