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 Estremera | 3139409 | 11 | 05/18/2016 | Customer Dispute | Settled | $211,500.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 05/12/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Mark Eben Lilley | 2775770 | 6 | 05/12/2016 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John Phillip McAbee | 1030577 | 4 | 04/28/2016 | Customer Dispute | Denied | $190,000.00 | $0.00 | See FINRA Report |
| Cary T Koh | 6219811 | 1 | 04/25/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 04/25/2016 | Customer Dispute | Settled | $220,940.00 | $0.00 | See FINRA Report |
| Jason Ting | 4520672 | 1 | 04/25/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bradley David Dartez | 5664104 | 1 | 04/22/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Herbert Albers | 1179032 | 3 | 04/21/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| John Charles Petersen | 1841863 | 2 | 04/19/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |