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 |
|---|---|---|---|---|---|---|---|---|
| Janna Rosenberg | 3141329 | 1 | 03/19/2022 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| Frank A Robertazzi | 5424152 | 1 | 03/19/2022 | Customer Dispute | Settled | $6,000.00 | $0.00 | See FINRA Report |
| David Andrew Massey | 2993074 | 1 | 03/08/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Reid Gilmore | 1500153 | 1 | 03/08/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Cass J Jenkins | 4304584 | 3 | 03/08/2022 | Customer Dispute | Settled | $2,300,000.00 | $0.00 | See FINRA Report |
| Scott Michael Nash | 1126026 | 3 | 02/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard K Pettibone | 2846638 | 1 | 12/27/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Y Kim | 4976347 | 1 | 12/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Joseph Teolis | 2001981 | 1 | 12/14/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard P Gentile | 7212326 | 1 | 12/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |