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 |
|---|---|---|---|---|---|---|---|---|
| Jonathon Frank Brauer | 3220095 | 3 | 02/26/2009 | Customer Dispute | Settled | $74,007.00 | $0.00 | See FINRA Report |
| David Stewart Harkins | 2291516 | 2 | 02/23/2009 | Customer Dispute | Settled | $676,142.00 | $0.00 | See FINRA Report |
| Klaus Miller | 857322 | 3 | 02/20/2009 | Customer Dispute | Settled | $135,923.00 | $0.00 | See FINRA Report |
| William James Floyd | 4816662 | 1 | 02/18/2009 | Customer Dispute | Settled | $49,653.60 | $0.00 | See FINRA Report |
| Robin M Rocha | 1303031 | 3 | 02/13/2009 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 02/13/2009 | Customer Dispute | Settled | $545,000.00 | $0.00 | See FINRA Report |
| I David Pelton | 1080881 | 7 | 02/11/2009 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Patricia M Barksdale | 2502722 | 1 | 02/06/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Gerard Holowicki | 2480002 | 2 | 02/03/2009 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |
| Peter Michael Tenuta | 2924753 | 1 | 01/28/2009 | Customer Dispute | Settled | $9,900.00 | $0.00 | See FINRA Report |