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 |
|---|---|---|---|---|---|---|---|---|
| William Jeffrey Neal | 1420444 | 4 | 04/20/2009 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Edward Charles Maier | 4762059 | 1 | 04/20/2009 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Gregory Scott Baird | 1866168 | 5 | 04/14/2009 | Customer Dispute | Settled | $32,050.00 | $0.00 | See FINRA Report |
| Andrey Movsesyan | 5223177 | 1 | 04/13/2009 | Customer Dispute | Settled | $1,750,000.00 | $0.00 | See FINRA Report |
| Benjamin Lengson | 4908855 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kerry A Knox | 4130858 | 3 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brandon Russell Hamilton | 4924931 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John-Michael Peters | 5032306 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alisa Jane Chanpong | 4051634 | 2 | 04/13/2009 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Bryon Theodore Forbes | 4798279 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |