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 |
|---|---|---|---|---|---|---|---|---|
| Benedicto Pichay Crisologo | 3004389 | 1 | 03/24/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Angel Luis Curbelo | 6480420 | 1 | 03/24/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jacob J Thomas | 4495190 | 1 | 03/23/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Arezzo | 4423293 | 1 | 03/21/2020 | Customer Dispute | Denied | $45,000.00 | $0.00 | See FINRA Report |
| Reese C Gneiting | 6089200 | 1 | 03/21/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Alberto Enrique Boulton | 6639531 | 1 | 03/20/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan J Lopez | 5944225 | 1 | 03/20/2020 | Customer Dispute | Denied | $1,900,000.00 | $0.00 | See FINRA Report |
| Robert Victor Lattig | 4160391 | 1 | 03/19/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Huanxing Wang | 6158414 | 1 | 03/18/2020 | Customer Dispute | Denied | $18,516.00 | $0.00 | See FINRA Report |
| Timothy J Kent | 5533177 | 1 | 03/18/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |