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 |
|---|---|---|---|---|---|---|---|---|
| Chad Christopher Zawacki | 2996799 | 2 | 07/10/2024 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Michael W Lawrence | 4225910 | 2 | 07/10/2024 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Mary M Mc Dougall | 1033553 | 4 | 07/10/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary M Mc Dougall | 1033553 | 4 | 07/10/2024 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| Nancy Parrett | 5459016 | 1 | 07/10/2024 | Customer Dispute | Settled | $11,949.00 | $0.00 | See FINRA Report |
| Lance Lee Everett Stanchel-Skyler | 7606559 | 4 | 07/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristopher Nintzel-O'Hare | 6256508 | 1 | 07/02/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen J Bissett | 6021895 | 3 | 06/30/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alex E Paredes-Malaga | 7191576 | 1 | 06/26/2024 | Customer Dispute | Pending | $750,000.00 | $0.00 | See FINRA Report |
| Kevin Pierron | 7546475 | 1 | 06/23/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |