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 |
|---|---|---|---|---|---|---|---|---|
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 12/13/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 12/13/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 12/11/2017 | Customer Dispute | Settled | $860,069.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 12/05/2017 | Customer Dispute | Settled | $331,738.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 12/04/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Franco G Fullana | 4248873 | 7 | 11/30/2017 | Customer Dispute | Settled | $1,110,390.00 | $0.00 | See FINRA Report |
| Brian Mark Upshaw | 6411033 | 1 | 11/22/2017 | Customer Dispute | Denied | $11,878.00 | $0.00 | See FINRA Report |
| David N Pappas | 1189108 | 3 | 11/16/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 11/03/2017 | Customer Dispute | Settled | $1,380,000.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 11/03/2017 | Customer Dispute | Settled | $170,000.00 | $0.00 | See FINRA Report |