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 |
|---|---|---|---|---|---|---|---|---|
| Megan Elizabeth Cassaday | 6557485 | 1 | 10/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian R O'Connor | 1910395 | 1 | 10/06/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 10/04/2019 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Michael Paul Voltin | 6115457 | 1 | 09/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 09/24/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Kahn | 2072427 | 7 | 09/23/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 09/12/2019 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Anthony Joe | 2519573 | 2 | 09/10/2019 | Customer Dispute | Settled | $181,608.00 | $0.00 | See FINRA Report |
| Neil Vinod Mehta | 5802739 | 3 | 09/06/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Fredrika Sidoroff | 1870302 | 2 | 09/06/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |