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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas Paul Sciotti | 5680567 | 1 | 08/25/2016 | Customer Dispute | Denied | $46,000.00 | $0.00 | See FINRA Report |
| Juliana Joern | 5988690 | 1 | 08/24/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Savino Cappiello | 1849724 | 5 | 08/22/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 08/19/2016 | Customer Dispute | Settled | $216,000.00 | $0.00 | See FINRA Report |
| Attila T Vari | 1534120 | 2 | 08/17/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin L Draggoo | 1405403 | 1 | 08/16/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Philip Richard Siegel | 5319458 | 1 | 08/09/2016 | Customer Dispute | Denied | $5,445.35 | $0.00 | See FINRA Report |
| Patrick Stephen Burke | 2313396 | 3 | 08/05/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/05/2016 | Customer Dispute | Settled | $340,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 08/01/2016 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |