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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 02/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ashish D Mathur | 4226766 | 2 | 02/01/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| M C Cuevas | 1403955 | 1 | 01/11/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott David Curtis | 1235245 | 4 | 01/05/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Eugene Lorenzo Avila | 2089467 | 1 | 01/04/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 01/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 12/29/2017 | Customer Dispute | Settled | $62,192.60 | $0.00 | See FINRA Report |
| George C Todd | 1206553 | 2 | 12/19/2017 | Customer Dispute | Settled | $5,700,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 12/18/2017 | Customer Dispute | Settled | $264,000.00 | $0.00 | See FINRA Report |
| Juan Antonio Braschi | 1753315 | 6 | 12/18/2017 | Customer Dispute | Settled | $264,000.00 | $0.00 | See FINRA Report |