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 |
|---|---|---|---|---|---|---|---|---|
| Robert John Kostigen | 1203410 | 4 | 03/08/2018 | Customer Dispute | Denied | $5,054.00 | $0.00 | See FINRA Report |
| Bruce Terence McConnell | 2950217 | 1 | 03/08/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paige Watson Lombardy | 5034467 | 1 | 03/07/2018 | Customer Dispute | Denied | $6,723.00 | $0.00 | See FINRA Report |
| Luann K Losito | 4313831 | 1 | 03/06/2018 | Customer Dispute | Settled | $701,734.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 02/22/2018 | Customer Dispute | Settled | $175,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 02/21/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Robert Feigelman | 1083638 | 3 | 02/16/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Glenn Michael Patti | 2218714 | 1 | 02/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Franco G Fullana | 4248873 | 7 | 02/07/2018 | Customer Dispute | Settled | $312,044.00 | $0.00 | See FINRA Report |
| Michael Joseph Kahn | 2072427 | 7 | 02/06/2018 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |