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 |
|---|---|---|---|---|---|---|---|---|
| Hector William Laffitte-Rossy | 1672889 | 9 | 08/27/2015 | Customer Dispute | Settled | $849,586.00 | $0.00 | See FINRA Report |
| David R Lowenthal | 2853584 | 8 | 08/26/2015 | Customer Dispute | Denied | $809,127.00 | $0.00 | See FINRA Report |
| Mark Louis Cremonni | 722469 | 4 | 08/26/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 08/25/2015 | Customer Dispute | Settled | $580,000.00 | $0.00 | See FINRA Report |
| Douglas Stuart Walker | 1702300 | 2 | 08/21/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew George Christopher | 3060388 | 2 | 08/20/2015 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| David M Wilson | 4766367 | 4 | 08/16/2015 | Customer Dispute | Closed-No Action | $164,000.00 | $0.00 | See FINRA Report |
| Robert M Dolfi | 1455302 | 2 | 08/11/2015 | Customer Dispute | Settled | $301,000.00 | $0.00 | See FINRA Report |
| Bryan O Vides | 4832661 | 1 | 08/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patricia L Pappas-O'Day | 2872041 | 1 | 08/04/2015 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |