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 |
|---|---|---|---|---|---|---|---|---|
| James Wesley Lewis | 1125729 | 5 | 08/30/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Iannucci | 2516627 | 1 | 08/15/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Shimkus | 2294488 | 1 | 07/15/2013 | Customer Dispute | Settled | $85,000.00 | $0.00 | See FINRA Report |
| Nils Robert Bosch | 4924925 | 1 | 07/11/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth C McNamara | 4559359 | 2 | 07/02/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Martin Allan Jakubowski | 1191777 | 1 | 07/02/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Garth Hacker | 1403163 | 2 | 06/24/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan David Turley | 2292263 | 1 | 06/13/2013 | Customer Dispute | Settled | $140,000.00 | $0.00 | See FINRA Report |
| Vincent J Vella | 1220236 | 5 | 06/11/2013 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Henry G Latimer | 2332585 | 3 | 06/03/2013 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |