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 |
|---|---|---|---|---|---|---|---|---|
| Pedro Pablo Gomez | 2068388 | 17 | 11/06/2008 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Horace H Smith | 1748760 | 6 | 11/04/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jin Kyun Park | 4042996 | 5 | 11/03/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Darius Raehpour | 4508598 | 4 | 10/29/2008 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Gerald Michael Broucek | 2370366 | 1 | 10/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Brian Kelly | 1975762 | 4 | 10/22/2008 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Joseph Brian Kelly | 1975762 | 4 | 10/22/2008 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Sean M Gorman | 4292430 | 2 | 10/21/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roy Borrego | 1630846 | 2 | 10/15/2008 | Customer Dispute | Settled | $14,197.00 | $0.00 | See FINRA Report |
| Graham Edward Bokinsky | 4470095 | 1 | 10/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |