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 |
|---|---|---|---|---|---|---|---|---|
| John Carlin Beavers | 3070359 | 2 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Jon Fudala | 1386718 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Billy Ying Chiu | 4973238 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian S Coulter | 4123819 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian S Coulter | 4123819 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Curry Cross | 1295825 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey D Fontes | 2398315 | 3 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul D Tomassi | 4001217 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patricia Mohr Shannon | 4364111 | 1 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bret Bret Lomax | 2125302 | 4 | 06/09/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |