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 |
|---|---|---|---|---|---|---|---|---|
| Philip Lennox | 5631992 | 1 | 07/01/2014 | Customer Dispute | Settled | $17,566.50 | $0.00 | See FINRA Report |
| Daniel E Maldonado Mercado | 2561190 | 5 | 06/27/2014 | Customer Dispute | Settled | $297,476.00 | $0.00 | See FINRA Report |
| Shawn Darius Farrokh | 4929150 | 1 | 06/26/2014 | Customer Dispute | Closed-No Action | $70,700.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 06/25/2014 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Cynthia Anne Guertin-Gileau | 4114405 | 1 | 06/25/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 06/25/2014 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 06/25/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 06/25/2014 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 06/20/2014 | Customer Dispute | Settled | $4,940,000.00 | $0.00 | See FINRA Report |
| Jason Carrol Rowe | 3050037 | 1 | 06/16/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |