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 |
|---|---|---|---|---|---|---|---|---|
| Sean Arlington Kienzle | 5164154 | 2 | 04/23/2015 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Andrew C Piet | 5785009 | 1 | 04/20/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Carl Joseph Guillory | 1682255 | 2 | 04/16/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Michael Adamchak | 1426388 | 1 | 04/14/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Glen Ferrand | 3210284 | 1 | 04/13/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose Luis Lequerica | 1514165 | 3 | 04/10/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Juan Guillermo Herrans Barreras | 1742910 | 5 | 04/09/2015 | Customer Dispute | Settled | $300,001.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 04/06/2015 | Customer Dispute | Settled | $3,809,050.00 | $0.00 | See FINRA Report |
| Daniel J Memo | 3079244 | 6 | 04/02/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Frank Vincent Fallon | 5527684 | 1 | 04/01/2015 | Customer Dispute | Settled | $11,404.00 | $0.00 | See FINRA Report |