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 |
|---|---|---|---|---|---|---|---|---|
| Annie M Etchegoyhen | 2786776 | 2 | 02/20/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Raymond Lembeck | 1238249 | 2 | 02/19/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Matthew Kobelski | 3121403 | 2 | 02/19/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 02/12/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| George S Kondracke | 2111285 | 2 | 02/02/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edith Elizabeth Wennick | 1406460 | 2 | 01/18/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 01/14/2015 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 01/14/2015 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Glenn E Hain | 2645863 | 4 | 01/09/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Scarlet Sue Landry | 1648804 | 1 | 01/06/2015 | Customer Dispute | Denied | $7,265.17 | $0.00 | See FINRA Report |