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 |
|---|---|---|---|---|---|---|---|---|
| Tariq A Laliwala | 4919322 | 1 | 04/12/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jagriti Ruparel | 2480539 | 1 | 04/12/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 04/10/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 04/05/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 04/05/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gary S Grossman | 1923392 | 1 | 04/05/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven A Katcher | 1582751 | 2 | 04/02/2018 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Kevin Leduff | 5553451 | 3 | 03/22/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John James Forster | 1303832 | 6 | 03/22/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 03/14/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |