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 | 09/19/2017 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Kevin Christopher Hebert | 3113375 | 1 | 09/13/2017 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Catherine Mercedes Santiago Toca | 1554210 | 5 | 08/21/2017 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 08/14/2017 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 08/07/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 08/02/2017 | Customer Dispute | Settled | $250,254.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/01/2017 | Customer Dispute | Settled | $365,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 07/24/2017 | Customer Dispute | Settled | $725,000.00 | $0.00 | See FINRA Report |
| Barry Evan Rubin | 2176696 | 3 | 07/10/2017 | Customer Dispute | Award / Judgment | $23,846.00 | $13,264.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 07/05/2017 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |