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 |
|---|---|---|---|---|---|---|---|---|
| Fernando V de La Vega | 2025344 | 20 | 07/30/2019 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 07/29/2019 | Customer Dispute | Settled | $438,952.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 07/25/2019 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Glenn Yarbrough | 1695281 | 3 | 07/19/2019 | Customer Dispute | Denied | $170,823.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 07/18/2019 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 07/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bernard George Adair | 1535429 | 9 | 07/15/2019 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 07/15/2019 | Customer Dispute | Settled | $460,000.00 | $0.00 | See FINRA Report |
| Jeffrey K Miller | 5786351 | 1 | 07/09/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 07/09/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |