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 |
|---|---|---|---|---|---|---|---|---|
| Rosanna Lucero-Torrez | 1251564 | 2 | 08/30/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/28/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 08/15/2018 | Customer Dispute | Settled | $210,000.00 | $0.00 | See FINRA Report |
| Hermann Josef Hertell | 5852812 | 2 | 08/14/2018 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 08/14/2018 | Customer Dispute | Settled | $650,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 08/14/2018 | Customer Dispute | Settled | $380,000.00 | $0.00 | See FINRA Report |
| Robert White Warburgh | 2426069 | 1 | 08/03/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 07/31/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Michael Anthony Tartaglia | 5149972 | 1 | 07/27/2018 | Customer Dispute | Settled | $59,939.60 | $0.00 | See FINRA Report |
| Lawrence Vincent Oconnor | 813950 | 7 | 07/26/2018 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |