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 |
|---|---|---|---|---|---|---|---|---|
| Carolyn Atwill Sullivan | 2400540 | 2 | 06/25/2015 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Denise Kim Mersinger | 3128752 | 2 | 06/18/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Victor Heflebower | 2000072 | 2 | 06/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Juan Guillermo Herrans Barreras | 1742910 | 5 | 06/10/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Hector Ruben Rosario Cuevas | 5435619 | 1 | 06/10/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Sean T Johnson | 5331194 | 2 | 06/08/2015 | Customer Dispute | Denied | $8,908.19 | $0.00 | See FINRA Report |
| Sean T Johnson | 5331194 | 2 | 06/08/2015 | Customer Dispute | Denied | $5,065.05 | $0.00 | See FINRA Report |
| Robert R Baker | 5177191 | 1 | 06/02/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Gerald Schwarz | 843622 | 2 | 06/01/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 05/26/2015 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |