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 |
|---|---|---|---|---|---|---|---|---|
| John Kenneth Ekleberry | 1609161 | 4 | 12/13/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel D Hansen | 5457819 | 1 | 12/12/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pavel Zbornik | 4883161 | 1 | 12/11/2018 | Customer Dispute | Denied | $9,140.00 | $0.00 | See FINRA Report |
| Margarita Figueroa | 1560872 | 3 | 11/29/2018 | Customer Dispute | Settled | $425,000.00 | $0.00 | See FINRA Report |
| Catherine Mercedes Santiago Toca | 1554210 | 5 | 11/29/2018 | Customer Dispute | Settled | $425,000.00 | $0.00 | See FINRA Report |
| Melissa Diane Clemens Williamson | 4401181 | 1 | 11/29/2018 | Customer Dispute | Denied | $5,000,000.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 11/27/2018 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Deane Lowell Curtiss | 1210243 | 1 | 11/25/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roberto A Fernandez | 1404389 | 6 | 11/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Baerga | 2916711 | 1 | 11/16/2018 | Customer Dispute | Pending | $44,000.00 | $0.00 | See FINRA Report |