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 |
|---|---|---|---|---|---|---|---|---|
| Brett A Korensky | 2155222 | 4 | 10/15/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Matthew Nichols Tucei | 5218840 | 1 | 10/14/2008 | Customer Dispute | Settled | $6,679.32 | $0.00 | See FINRA Report |
| Charles Ira Slater | 2000014 | 2 | 10/14/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robbye R Soler | 4476744 | 1 | 10/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Erico Cajes Galvez | 2097294 | 2 | 10/01/2008 | Customer Dispute | Settled | $103,648.00 | $0.00 | See FINRA Report |
| David William Prockter | 4153863 | 3 | 10/01/2008 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John William Boukamp | 1444222 | 8 | 09/29/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Russell Sailer | 862922 | 2 | 09/25/2008 | Customer Dispute | Settled | $504,230.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 09/24/2008 | Customer Dispute | Settled | $194,038.00 | $0.00 | See FINRA Report |
| Adam Jason Rosenfeld | 4310098 | 9 | 09/22/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |