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 |
|---|---|---|---|---|---|---|---|---|
| Don Wade Lilly | 3142542 | 1 | 03/19/2012 | Customer Dispute | Settled | $46,802.80 | $0.00 | See FINRA Report |
| Nancy L Unglaub | 1817855 | 2 | 03/08/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Kelly Porter | 849545 | 1 | 03/01/2012 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Robert J Labriola | 2291704 | 4 | 02/28/2012 | Customer Dispute | Settled | $535,250.00 | $0.00 | See FINRA Report |
| James M Della Guardia | 2066968 | 2 | 02/27/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Allison Dawn Tarpley | 3247419 | 2 | 02/21/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| John Richard Henderson | 2168715 | 4 | 02/14/2012 | Customer Dispute | Settled | $776,782.00 | $0.00 | See FINRA Report |
| David Henry Berntsen | 1480860 | 3 | 01/12/2012 | Customer Dispute | Settled | $164,000.00 | $0.00 | See FINRA Report |
| John Robert Steiner | 2229844 | 1 | 01/11/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Deborah H Lee | 2240166 | 1 | 01/11/2012 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |