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 |
|---|---|---|---|---|---|---|---|---|
| Edward G Rakosky | 5645469 | 2 | 09/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Maria McGarey Johnson | 2495165 | 1 | 09/19/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 09/06/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Melissa P Spickler | 719397 | 5 | 08/25/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Melissa P Spickler | 719397 | 5 | 08/25/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeff Cheng Jin | 4292519 | 2 | 08/11/2022 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael Jude Mattes | 711974 | 2 | 07/27/2022 | Customer Dispute | Settled | $556,567.00 | $0.00 | See FINRA Report |
| Justin Howard Baker Gillham | 4575519 | 2 | 07/20/2022 | Customer Dispute | Settled | $1,050,000.00 | $0.00 | See FINRA Report |
| Bradley J Kitchener | 4332465 | 1 | 07/15/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cynthia Vartan Keverian | 5404117 | 1 | 07/14/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |