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 |
|---|---|---|---|---|---|---|---|---|
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 01/29/2019 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Cleo B Coates | 1864062 | 1 | 01/29/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel John Moran | 1864762 | 5 | 01/23/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 01/17/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 01/17/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 01/17/2019 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| Juan Guillermo Herrans Barreras | 1742910 | 5 | 01/15/2019 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Ryan L Wetsel | 4169441 | 1 | 01/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mikihisa Kobayashi | 5759616 | 1 | 01/08/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Andrew O'Brien | 5769526 | 1 | 01/07/2019 | Customer Dispute | Denied | $4,000,000.00 | $0.00 | See FINRA Report |