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 |
|---|---|---|---|---|---|---|---|---|
| William Worthen King | 1432593 | 8 | 11/21/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 7 | 11/14/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Christopher Dupuis | 4818837 | 2 | 11/13/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roger M Wallach | 2460445 | 1 | 11/08/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Raymond Lucas | 5306165 | 1 | 11/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Edward Weisenfels | 2291571 | 1 | 10/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine Kelly Larsen | 2540556 | 2 | 10/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gerard C. O'Connell | 4069478 | 1 | 10/24/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard E Johnson | 1466311 | 1 | 10/20/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jared C Wix | 5993799 | 7 | 10/20/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |