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 |
|---|---|---|---|---|---|---|---|---|
| Roberto A Fernandez | 1404389 | 6 | 12/09/2015 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Michael Alfred Roma | 4744529 | 2 | 11/30/2015 | Customer Dispute | Settled | $26,183.20 | $0.00 | See FINRA Report |
| William John Kiefel | 1143487 | 1 | 11/24/2015 | Customer Dispute | Denied | $29,810.00 | $0.00 | See FINRA Report |
| Thomas Evald Fasth | 2320238 | 1 | 11/21/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 11/05/2015 | Customer Dispute | Settled | $1,113,000.00 | $0.00 | See FINRA Report |
| Michael G Ulrich | 3276494 | 4 | 11/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 11/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Franco G Fullana | 4248873 | 7 | 10/28/2015 | Customer Dispute | Settled | $347,193.00 | $0.00 | See FINRA Report |
| Adam Jesse Gurien | 2302341 | 4 | 10/28/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Vincent M Ambroselli | 1683521 | 5 | 10/27/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |