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 |
|---|---|---|---|---|---|---|---|---|
| Scot Thomas Benefiel | 1968666 | 2 | 03/18/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alfonso E Juliao | 5683059 | 1 | 03/16/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 03/15/2021 | Customer Dispute | Settled | $370,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 03/11/2021 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Mandy Judith Rofe | 2393444 | 1 | 03/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence J Nagel | 3040736 | 3 | 03/11/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Allen Brady | 849289 | 2 | 03/10/2021 | Customer Dispute | Denied | $5,796.22 | $0.00 | See FINRA Report |
| Jeff Cheng Jin | 4292519 | 2 | 02/24/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory Depaul Whelan | 5247677 | 2 | 02/24/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Robert Light | 5737201 | 1 | 02/22/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |