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 |
|---|---|---|---|---|---|---|---|---|
| Michael Alfred Roma | 4744529 | 2 | 07/14/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin John Lee | 4413603 | 1 | 07/10/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Holly Beall Wallace | 1528082 | 5 | 07/09/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicolas B Castaneda | 2931902 | 6 | 07/02/2008 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Holly Beall Wallace | 1528082 | 5 | 07/01/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marcus Paul Malonson | 2588095 | 3 | 06/30/2008 | Customer Dispute | Settled | $3,500,000.00 | $0.00 | See FINRA Report |
| Niklas Alan Scherer | 2308722 | 1 | 06/30/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael John Sonnier | 2218550 | 1 | 06/30/2008 | Customer Dispute | Settled | $3,500,000.00 | $0.00 | See FINRA Report |
| Christopher Patrick Cromer | 2802020 | 3 | 06/26/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Glenn Cary Feigin | 1852382 | 3 | 06/25/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |