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 |
|---|---|---|---|---|---|---|---|---|
| Mark Joseph Ogren | 1421736 | 2 | 03/17/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dixin Zheng | 6067345 | 1 | 03/16/2020 | Customer Dispute | Denied | $38,310.00 | $0.00 | See FINRA Report |
| Jason Robert Steele | 6222548 | 2 | 03/14/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Omar Khalil | 6736786 | 1 | 03/13/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Alberto Casellas | 2638747 | 2 | 03/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Margarita Figueroa | 1560872 | 3 | 03/09/2020 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Catherine Mercedes Santiago Toca | 1554210 | 5 | 03/09/2020 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 03/06/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| David Marquis | 5546969 | 1 | 03/06/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael D Caffrey | 6243557 | 1 | 03/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |