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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Miranda | 4782207 | 1 | 10/22/2015 | Customer Dispute | Award / Judgment | $0.00 | $685,579.00 | See FINRA Report |
| Scott Duane Miller | 3121350 | 1 | 10/15/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 10/12/2015 | Customer Dispute | Settled | $2,425,000.00 | $0.00 | See FINRA Report |
| Daniel E Maldonado Mercado | 2561190 | 5 | 10/12/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 10/02/2015 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Christopher Ross Barney | 4823856 | 2 | 10/01/2015 | Customer Dispute | Denied | $22,103.60 | $0.00 | See FINRA Report |
| H R Farris | 1333476 | 1 | 09/29/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Daniel Huggins | 1444889 | 6 | 09/18/2015 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 09/10/2015 | Customer Dispute | Settled | $475,000.00 | $0.00 | See FINRA Report |
| Paulo Guilherme de Souza | 4310442 | 1 | 09/01/2015 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |