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 |
|---|---|---|---|---|---|---|---|---|
| Damon Couch | 1596120 | 1 | 01/09/2012 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jonathan Rodney Leach | 4255458 | 2 | 12/30/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Steven Michael Nussbaum | 1559371 | 2 | 12/22/2011 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Michael B Cunningham | 2246577 | 3 | 12/21/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jaime J Nino | 4944134 | 2 | 11/18/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ann Marie Richardson | 1526153 | 1 | 10/31/2011 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Gary Kahn Stern | 1351563 | 2 | 10/31/2011 | Customer Dispute | Settled | $61,222,400.00 | $0.00 | See FINRA Report |
| Michael Edward Stogner | 4356421 | 1 | 10/19/2011 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Kelleher | 1059804 | 5 | 10/17/2011 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |
| Georgia Plavocos Kelly | 1543234 | 1 | 10/03/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |