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 |
|---|---|---|---|---|---|---|---|---|
| Craig F Umbrell | 3128124 | 1 | 02/19/2014 | Customer Dispute | Settled | $718,858.00 | $0.00 | See FINRA Report |
| James Wesley Lewis | 1125729 | 5 | 02/19/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Wesley Lewis | 1125729 | 5 | 02/19/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Linhvien Tran | 4371375 | 1 | 02/03/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Pfenninger Dahme | 724394 | 4 | 01/30/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Wayne Higginbotham | 3266369 | 2 | 01/28/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ban Tran | 2757627 | 1 | 01/08/2014 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Evan Stuart Kendis | 2911521 | 2 | 12/30/2013 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Bryce R Mott | 5963406 | 1 | 12/19/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel R Ellison | 2320115 | 6 | 12/17/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |