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 |
|---|---|---|---|---|---|---|---|---|
| Mandy Judith Rofe | 2393444 | 1 | 03/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence J Nagel | 3040736 | 3 | 03/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeff Cheng Jin | 4292519 | 2 | 02/24/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Depaul Whelan | 5247677 | 2 | 02/24/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Robert Light | 5737201 | 1 | 02/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Moses M Salib | 6135871 | 1 | 02/09/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Carnley Holly | 1318451 | 1 | 02/03/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan Peter Wanta | 6734479 | 1 | 01/31/2021 | Customer Dispute | Settled | $36,213.70 | $0.00 | See FINRA Report |
| Kenneth A Pesavento | 360864 | 1 | 01/06/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Nadya Mirza | 4852515 | 1 | 01/05/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |