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 |
|---|---|---|---|---|---|---|---|---|
| David Henry Berntsen | 1480860 | 3 | 01/03/2013 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Wade Mitchell Wolfe | 2176762 | 3 | 01/03/2013 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| William Michael Pressman | 2868675 | 4 | 01/03/2013 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 11/26/2012 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| G K Lloyd | 1508761 | 1 | 11/09/2012 | Customer Dispute | Settled | $147,971.00 | $0.00 | See FINRA Report |
| David Brian Carpentier | 3143070 | 2 | 10/26/2012 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Joseph Nader | 1063967 | 2 | 10/22/2012 | Customer Dispute | Settled | $677,044.00 | $0.00 | See FINRA Report |
| William B Stevenson | 1217172 | 6 | 10/10/2012 | Customer Dispute | Settled | $36,450.00 | $0.00 | See FINRA Report |
| Gary Alan Gross | 2104804 | 4 | 10/01/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Scott Tomoda | 4172887 | 1 | 09/29/2012 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |