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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Hernan Santa Maria | 3189797 | 31 | 03/07/2019 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Hermann Josef Hertell | 5852812 | 2 | 03/04/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 03/04/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael Jason Oliveri | 6308876 | 1 | 02/20/2019 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 02/19/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Timothy Revell Roberson | 2200567 | 4 | 02/14/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Olivier P Martinez | 6256584 | 1 | 02/05/2019 | Customer Dispute | Denied | $90,000.00 | $0.00 | See FINRA Report |
| Allan Winthrop Linke | 1432707 | 1 | 02/01/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Neil Vinod Mehta | 5802739 | 3 | 01/31/2019 | Customer Dispute | Settled | $110,406.00 | $0.00 | See FINRA Report |
| Steven A Katcher | 1582751 | 2 | 01/30/2019 | Customer Dispute | Denied | $10,159.00 | $0.00 | See FINRA Report |