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 |
|---|---|---|---|---|---|---|---|---|
| Stephen E Spiegle | 432085 | 1 | 09/23/2016 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 09/22/2016 | Customer Dispute | Settled | $214,000.00 | $0.00 | See FINRA Report |
| Cynthia J Yozwiak | 2661251 | 1 | 09/21/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Violet Lee | 2279257 | 2 | 09/16/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elvyn M Sanchez | 6069817 | 2 | 09/12/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 09/06/2016 | Customer Dispute | Settled | $707,000.00 | $0.00 | See FINRA Report |
| John Richard Henderson | 2168715 | 4 | 09/06/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 09/01/2016 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/30/2016 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Juan Guillermo Herrans Barreras | 1742910 | 5 | 08/29/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |