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 |
|---|---|---|---|---|---|---|---|---|
| Wade Mitchell Wolfe | 2176762 | 3 | 04/02/2009 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| William Michael Pressman | 2868675 | 4 | 04/02/2009 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Christopher Ross Barney | 4823856 | 2 | 03/30/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Hildreth Groh | 719835 | 2 | 03/27/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marion Wegner Schloemer | 1022049 | 1 | 03/26/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Alexander Miller | 5367504 | 2 | 03/12/2009 | Customer Dispute | Settled | $6,251.28 | $0.00 | See FINRA Report |
| Lori M Wiegand | 2318358 | 2 | 03/10/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Addison Michael Sherman | 1261217 | 3 | 03/05/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Larry Leon Hyatt | 1506954 | 1 | 03/04/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Todd Watts | 2009984 | 5 | 03/02/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |