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 |
|---|---|---|---|---|---|---|---|---|
| Richard Alan Cohen | 1384725 | 1 | 09/18/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 09/11/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 09/11/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 09/11/2018 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 09/11/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Austin H Rap | 5977026 | 1 | 09/10/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Jennifer Ellen Blasberg | 2194691 | 2 | 09/07/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 09/05/2018 | Customer Dispute | Settled | $3,881,250.00 | $0.00 | See FINRA Report |
| Bradford E Bugher | 2314651 | 2 | 09/04/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James G Babineaux | 1323951 | 2 | 08/30/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |