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 |
|---|---|---|---|---|---|---|---|---|
| Brent David Cline | 4809313 | 1 | 09/22/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Adam Brent Stovall | 3172014 | 2 | 04/18/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Robert Colgan Dyer | 2917796 | 2 | 04/14/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Joshua C Centre | 4171702 | 1 | 03/26/2008 | Customer Dispute | Withdrawn | $30,000.00 | $0.00 | See FINRA Report |
| David Jay Young | 1600043 | 5 | 03/26/2008 | Customer Dispute | Withdrawn | $80,000.00 | $0.00 | See FINRA Report |
| Nadine Z Faulis | 1977686 | 1 | 08/31/2007 | Customer Dispute | Withdrawn | $14,403.00 | $0.00 | See FINRA Report |
| Theresa M Dillard | 1883367 | 3 | 03/22/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| James P Olivo | 4053774 | 1 | 01/29/2007 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Patricia Ann Hamblen | 1880743 | 2 | 04/27/2006 | Customer Dispute | Withdrawn | $50,137.00 | $0.00 | See FINRA Report |
| Jose Julio Gonzalez | 2586563 | 1 | 01/07/2006 | Customer Dispute | Withdrawn | $104,000.00 | $0.00 | See FINRA Report |