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 | 05/22/2019 | Customer Dispute | Settled | $2,400,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 05/22/2019 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| David J Waitrovich | 1064617 | 1 | 05/20/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark E Jones | 261512 | 11 | 05/17/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Sebastian Sidor | 4199302 | 1 | 05/13/2019 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 05/06/2019 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Mark Eben Lilley | 2775770 | 6 | 05/02/2019 | Customer Dispute | Closed-No Action | $365,000.00 | $0.00 | See FINRA Report |
| Jose Alberto Casellas | 2638747 | 2 | 05/02/2019 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Steven Noce | 4288062 | 1 | 04/30/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Todd Penny | 4803098 | 1 | 04/17/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |