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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Hernan Santa Maria | 3189797 | 31 | 10/31/2017 | Customer Dispute | Settled | $2,350,000.00 | $0.00 | See FINRA Report |
| Brendan McMahon | 6089564 | 1 | 10/31/2017 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 10/30/2017 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Gary George Peirce | 2098729 | 3 | 10/24/2017 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 10/19/2017 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Samuel Wajner | 1248953 | 1 | 10/18/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Tyra Nelson Ellison | 2304588 | 2 | 10/12/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 10/10/2017 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Robert Andrew Saracco | 1596415 | 1 | 10/10/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 10/10/2017 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |