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 |
|---|---|---|---|---|---|---|---|---|
| Javier Estremera | 3139409 | 11 | 09/05/2019 | Customer Dispute | Settled | $760,000.00 | $0.00 | See FINRA Report |
| Jeremy R Yuster | 3118934 | 1 | 08/29/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| C L Taylor | 2355696 | 2 | 08/27/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 08/26/2019 | Customer Dispute | Settled | $425,000.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 08/26/2019 | Customer Dispute | Settled | $215,000.00 | $0.00 | See FINRA Report |
| Juan Guillermo Herrans Barreras | 1742910 | 5 | 08/26/2019 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/26/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 08/26/2019 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Joshua Michael Adler | 3154013 | 1 | 08/26/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 08/26/2019 | Customer Dispute | Settled | $850,000.00 | $0.00 | See FINRA Report |