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 | 06/19/2024 | Customer Dispute | Denied | $166,000.00 | $0.00 | See FINRA Report |
| Michael W Lawrence | 4225910 | 2 | 06/19/2024 | Customer Dispute | Denied | $166,000.00 | $0.00 | See FINRA Report |
| Mary M Mc Dougall | 1033553 | 4 | 06/19/2024 | Customer Dispute | Denied | $166,000.00 | $0.00 | See FINRA Report |
| James Landeros | 6447130 | 1 | 06/18/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Roger M Wallach | 2460445 | 2 | 06/18/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marvin Somlo | 6617205 | 1 | 06/12/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jesus G Sanchez | 4902989 | 1 | 06/10/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nestor Hsu | 7321052 | 3 | 06/06/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Darius Raehpour | 4508598 | 4 | 06/05/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Melika Assadi | 7693007 | 7 | 06/03/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |