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 |
|---|---|---|---|---|---|---|---|---|
| Richard Louis Soares | 1105512 | 4 | 08/05/2011 | Customer Dispute | Settled | $113,969.00 | $0.00 | See FINRA Report |
| Michael J Annicelli | 2805038 | 2 | 07/27/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David Bahena | 5900184 | 1 | 07/14/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew Seth Kampf | 826362 | 3 | 07/14/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Patrick J Walsh | 872941 | 3 | 07/14/2011 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |
| Andrew Michael Gergel | 831681 | 1 | 07/12/2011 | Customer Dispute | Settled | $239,222.00 | $0.00 | See FINRA Report |
| Dane M Johnson | 2122107 | 1 | 06/30/2011 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jennifer Marie Shaw | 2773245 | 2 | 06/28/2011 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Evan Carl Scott | 1104024 | 2 | 06/22/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| August Anthony Cenname | 43798 | 1 | 06/16/2011 | Customer Dispute | Settled | $12,000,000.00 | $0.00 | See FINRA Report |