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 |
|---|---|---|---|---|---|---|---|---|
| Elizabeth Anne Kilmer | 4398590 | 2 | 11/13/2018 | Customer Dispute | Denied | $19,000.00 | $0.00 | See FINRA Report |
| James Downey Harter | 4686742 | 1 | 11/08/2018 | Customer Dispute | Denied | $37,555.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 11/06/2018 | Customer Dispute | Settled | $1,350,000.00 | $0.00 | See FINRA Report |
| Timothy Nathaniel McMullen | 2627239 | 2 | 10/30/2018 | Customer Dispute | Award / Judgment | $45,000.00 | $0.00 | See FINRA Report |
| Daniel John Moran | 1864762 | 5 | 10/29/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 10/25/2018 | Customer Dispute | Settled | $324,000.00 | $0.00 | See FINRA Report |
| Natalie Jean Cetrulo | 6114214 | 1 | 10/25/2018 | Customer Dispute | Denied | $283,624.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 10/25/2018 | Customer Dispute | Settled | $324,000.00 | $0.00 | See FINRA Report |
| Jason J Ortiz | 5433449 | 1 | 10/14/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Derek Duane Lewis | 6117259 | 1 | 10/12/2018 | Customer Dispute | Denied | $217,542.00 | $0.00 | See FINRA Report |