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 |
|---|---|---|---|---|---|---|---|---|
| Brad Roger Nettune | 2866110 | 2 | 09/24/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Aric E Friend | 4939852 | 1 | 08/12/2013 | Customer Dispute | Withdrawn | $90,000.00 | $0.00 | See FINRA Report |
| David Paul Smith | 4268286 | 1 | 07/26/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael J. Barnes | 4572375 | 2 | 07/12/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Maurice Storch | 2555824 | 1 | 03/03/2013 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Mark Eugene Mattingly | 2977990 | 2 | 03/03/2013 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Kandis Kay Schissel | 4488965 | 1 | 08/20/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel S Slattery | 2491307 | 1 | 08/20/2012 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Christopher Scott Tritsch | 1803673 | 2 | 05/29/2012 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Steven T. Ernst | 1276437 | 8 | 09/29/2011 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |