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 |
|---|---|---|---|---|---|---|---|---|
| Pedro Pablo Gomez | 2068388 | 17 | 11/19/2010 | Customer Dispute | Settled | $26,482.90 | $0.00 | See FINRA Report |
| Carl Peter Neuberger | 732053 | 3 | 11/16/2010 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Patricia Marie Cleary | 722476 | 1 | 11/12/2010 | Customer Dispute | Settled | $790,000.00 | $0.00 | See FINRA Report |
| Joseph Peter Zuber | 2384873 | 1 | 10/26/2010 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jeffrey Elliott Janssen | 2947034 | 1 | 10/18/2010 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| John C Larson | 4123721 | 2 | 10/18/2010 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Eric B Candelori | 1678961 | 3 | 10/18/2010 | Customer Dispute | Settled | $186,325.00 | $0.00 | See FINRA Report |
| Aaron Robert Hagwood | 2750811 | 1 | 10/15/2010 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 10/11/2010 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 10/07/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |