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 |
|---|---|---|---|---|---|---|---|---|
| George Preston Moler | 841948 | 3 | 06/25/2012 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 06/12/2012 | Customer Dispute | Settled | $21,000,000.00 | $0.00 | See FINRA Report |
| Douglas M Kistler | 4280465 | 1 | 05/31/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel F Thompson | 1768298 | 1 | 05/30/2012 | Customer Dispute | Settled | $42,500.00 | $0.00 | See FINRA Report |
| Neil Evan Rinehart | 832976 | 3 | 05/04/2012 | Customer Dispute | Settled | $98,000.00 | $0.00 | See FINRA Report |
| Cynthia Testa Chaiten | 4078569 | 3 | 04/30/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Brian Richard Janus | 2899680 | 5 | 04/30/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Glenda Brenetta Ross | 1132875 | 1 | 04/02/2012 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Jenny Yun Hunter | 4972994 | 1 | 03/23/2012 | Customer Dispute | Settled | $29,000.00 | $0.00 | See FINRA Report |
| Leah Elletta Braden | 5148568 | 1 | 03/19/2012 | Customer Dispute | Settled | $46,802.80 | $0.00 | See FINRA Report |