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 |
|---|---|---|---|---|---|---|---|---|
| Javier Aviles | 2354769 | 1 | 07/28/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael McGill | 4728513 | 7 | 07/22/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Michael Cahill | 1159741 | 2 | 07/22/2016 | Customer Dispute | Award / Judgment | $28,276.00 | $27,867.50 | See FINRA Report |
| Lynne B Marino | 5453511 | 1 | 07/20/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 07/07/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 06/29/2016 | Customer Dispute | Settled | $487,727.00 | $0.00 | See FINRA Report |
| Raj Sharma | 1764403 | 2 | 06/24/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gregory F Viventi | 4137887 | 1 | 06/22/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Francis Fessler | 1889126 | 2 | 06/22/2016 | Customer Dispute | Settled | $470,000.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 06/20/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |