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 |
|---|---|---|---|---|---|---|---|---|
| Chris Dennis Cunningham | 1573549 | 2 | 05/20/2013 | Customer Dispute | Settled | $72,500.00 | $0.00 | See FINRA Report |
| Casey Freeman | 5127006 | 1 | 05/01/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Goodworth | 3164578 | 3 | 04/17/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Darlene Flick Michelson | 2848736 | 1 | 04/09/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard D Hattaway | 5021453 | 1 | 04/08/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Wilson Moore | 2526192 | 2 | 03/25/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Wilson Moore | 2526192 | 2 | 03/21/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Hormell Rice | 1684449 | 2 | 03/08/2013 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Stephen Martin Sader | 834130 | 1 | 02/12/2013 | Customer Dispute | Settled | $69,769.00 | $0.00 | See FINRA Report |
| Christopher John Baldwin | 1157940 | 1 | 02/11/2013 | Customer Dispute | Settled | $436,619.00 | $0.00 | See FINRA Report |