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 |
|---|---|---|---|---|---|---|---|---|
| Barbara Ann McMahon | 4914594 | 1 | 07/02/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fredrika Sidoroff | 1870302 | 2 | 06/26/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 06/25/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 06/17/2019 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Aaron Walter Meisner | 2288731 | 1 | 06/17/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 06/06/2019 | Customer Dispute | Settled | $141,961.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/05/2019 | Customer Dispute | Closed-No Action | $1,300,000.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 06/05/2019 | Customer Dispute | Settled | $475,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 05/31/2019 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Joseph John Valdrini | 867570 | 2 | 05/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |