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 |
|---|---|---|---|---|---|---|---|---|
| Michael Adam Fish | 2720135 | 1 | 10/11/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jarett D Liddicoat | 4853499 | 1 | 10/05/2018 | Customer Dispute | Award / Judgment | $550,000.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 10/02/2018 | Customer Dispute | Settled | $507,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 10/02/2018 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 10/02/2018 | Customer Dispute | Settled | $507,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 09/26/2018 | Customer Dispute | Settled | $265,000.00 | $0.00 | See FINRA Report |
| Charles Aaron Bell | 2900049 | 1 | 09/26/2018 | Customer Dispute | Denied | $12,130.20 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 09/25/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 09/18/2018 | Customer Dispute | Settled | $610,000.00 | $0.00 | See FINRA Report |
| William Brown West | 4442457 | 1 | 09/18/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |