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 |
|---|---|---|---|---|---|---|---|---|
| Monica M Piepenkotter | 2566766 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Sturtevant Brown | 4396472 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Casey Sanford Harrah | 1084197 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael David Rybka | 2224617 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Forrest Ethan Dunn | 4983803 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Austin Crane Drukker | 1533386 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sarah Mary Balk Ostrie | 2786364 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Wayne Clarence Moore | 1122854 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeff Schuetts | 2609736 | 1 | 04/13/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rial Allen Barnett | 1906698 | 2 | 04/03/2009 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |