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 |
|---|---|---|---|---|---|---|---|---|
| Hector William Laffitte-Rossy | 1672889 | 9 | 06/27/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Michael Stewart Douglass | 2557170 | 1 | 06/25/2018 | Customer Dispute | Settled | $31,000.00 | $0.00 | See FINRA Report |
| Colleen Marie Di Paola | 4340356 | 1 | 06/23/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ralph Michael Byer | 1038411 | 7 | 06/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Andrew Billinghurst | 5165695 | 1 | 06/15/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/15/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/12/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christopher M Leone | 3111303 | 1 | 06/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Bernard Finley | 3239713 | 1 | 06/06/2018 | Customer Dispute | Denied | $6,600.00 | $0.00 | See FINRA Report |
| Daniel Louis Girdler | 1364463 | 4 | 05/29/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |