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 |
|---|---|---|---|---|---|---|---|---|
| Ralph Michael Byer | 1038411 | 7 | 01/27/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| William W Baxley | 2983607 | 2 | 01/22/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Minkat Chong | 2915628 | 1 | 01/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Hyeon Hee Kang | 4512355 | 1 | 01/14/2009 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Wesley Allan Sanchez | 3269387 | 1 | 01/13/2009 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Michael J Barnes | 4572375 | 2 | 01/13/2009 | Customer Dispute | Settled | $168,270.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 01/12/2009 | Customer Dispute | Settled | $93,000.00 | $0.00 | See FINRA Report |
| Michael Corneilius Callahan | 2269404 | 6 | 01/08/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrea M Herrera | 2608599 | 1 | 01/05/2009 | Customer Dispute | Settled | $31,418.00 | $0.00 | See FINRA Report |
| J B Willis | 1231795 | 9 | 12/16/2008 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |