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 |
|---|---|---|---|---|---|---|---|---|
| Timothy Nathaniel McMullen | 2627239 | 2 | 10/30/2018 | Customer Dispute | Award / Judgment | $45,000.00 | $0.00 | See FINRA Report |
| Jarett D Liddicoat | 4853499 | 1 | 10/05/2018 | Customer Dispute | Award / Judgment | $550,000.00 | $0.00 | See FINRA Report |
| Barry Evan Rubin | 2176696 | 3 | 07/10/2017 | Customer Dispute | Award / Judgment | $23,846.00 | $13,264.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 06/20/2017 | Customer Dispute | Award / Judgment | $2,000,000.00 | $0.00 | See FINRA Report |
| Edward Michael Cahill | 1159741 | 2 | 07/22/2016 | Customer Dispute | Award / Judgment | $28,276.00 | $27,867.50 | See FINRA Report |
| Carlos Miranda | 4782207 | 1 | 10/22/2015 | Customer Dispute | Award / Judgment | $0.00 | $685,579.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 09/30/2014 | Customer Dispute | Award / Judgment | $0.00 | $250.00 | See FINRA Report |
| Daniel Timothy O'Connell | 1283449 | 1 | 01/13/2014 | Customer Dispute | Award / Judgment | $925,000.00 | $158,000.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 10/16/2013 | Customer Dispute | Award / Judgment | $702,003.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 06/11/2012 | Customer Dispute | Award / Judgment | $16,000,000.00 | $7,000,000.00 | See FINRA Report |