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 |
|---|---|---|---|---|---|---|---|---|
| Maurice Storch | 2555824 | 1 | 03/03/2013 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Mark Eugene Mattingly | 2977990 | 2 | 03/03/2013 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Kandis Kay Schissel | 4488965 | 1 | 08/20/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel S Slattery | 2491307 | 1 | 08/20/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| David Stephen Jancisin | 841868 | 3 | 06/17/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Lois Sherman Cartwright | 1037657 | 2 | 05/10/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Curtis Charles Miller | 1402739 | 2 | 03/12/2009 | Customer Dispute | Withdrawn | $30,000.00 | $0.00 | See FINRA Report |
| J J Wood | 2371315 | 1 | 01/08/2009 | Customer Dispute | Withdrawn | $37,774.00 | $0.00 | See FINRA Report |
| Christopher Alan Moore | 1232109 | 1 | 12/18/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Payne | 1114780 | 3 | 10/27/2008 | Customer Dispute | Withdrawn | $24,000.00 | $0.00 | See FINRA Report |