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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Dale Reid | 3103262 | 2 | 10/14/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Andrew George Gergatsoulis | 1912483 | 2 | 10/14/2022 | Customer Dispute | Pending | $35,494.30 | $0.00 | See FINRA Report |
| Stephen G Wilkinson | 5465845 | 2 | 10/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Victor Rahner | 7124695 | 1 | 10/12/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Walter Robert Josiah | 2635170 | 1 | 10/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Diane Suzanne Valenzuela | 2105685 | 1 | 10/07/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Burdette Park | 5762217 | 1 | 10/06/2022 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Christopher Chatham Magee | 5598843 | 1 | 10/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stacey Baines Jones | 7005843 | 6 | 09/30/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Jay Marston | 2344305 | 2 | 09/30/2022 | Customer Dispute | Denied | $57,380.00 | $0.00 | See FINRA Report |