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 | 01/31/2017 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Monica Jill Guttmann | 1767228 | 4 | 01/31/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Nicole Marie Andres | 2144858 | 3 | 01/30/2017 | Customer Dispute | Denied | $44,355.00 | $0.00 | See FINRA Report |
| Peter Nagy Ibrahim | 2349960 | 1 | 01/30/2017 | Customer Dispute | Settled | $855,000.00 | $0.00 | See FINRA Report |
| Nathan Paul McAbee | 4724888 | 1 | 01/27/2017 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Layne R Tally | 5139105 | 1 | 01/20/2017 | Customer Dispute | Denied | $11,000.00 | $0.00 | See FINRA Report |
| Edward George Turnbull | 2781543 | 2 | 01/13/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 01/11/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Pedro M Suau-Sanchidrian | 2765419 | 3 | 01/04/2017 | Customer Dispute | Settled | $1,341,620.00 | $0.00 | See FINRA Report |
| Ruggero Enrico Borletti | 4271502 | 1 | 12/16/2016 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |