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 |
|---|---|---|---|---|---|---|---|---|
| Patrick Gerard Riley | 4918740 | 1 | 11/15/2023 | Customer Dispute | Closed-No Action | $8,420.00 | $0.00 | See FINRA Report |
| Clarisse Tur | 6093990 | 2 | 11/15/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Aaron Andrew Ungerer | 5086742 | 1 | 11/13/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Clarisse Tur | 6093990 | 2 | 11/09/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert David Bolber | 1433513 | 2 | 10/11/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Marchelo Medina | 2614773 | 6 | 09/27/2023 | Customer Dispute | Pending | $782,500.00 | $0.00 | See FINRA Report |
| Alexandra Fiona Babb | 5896187 | 1 | 09/21/2023 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 09/20/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joseph Kurtz Hunt | 5036197 | 3 | 09/19/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Harry Ian Zwick | 5847512 | 1 | 09/16/2023 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |