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 |
|---|---|---|---|---|---|---|---|---|
| Dante Pinckney | 6955951 | 1 | 08/31/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 08/27/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Rebecca T Thomas | 1085958 | 1 | 07/30/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David M Wilson | 4766367 | 4 | 07/23/2020 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Barry Evan Rubin | 2176696 | 3 | 07/20/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 06/15/2020 | Customer Dispute | Settled | $101,000.00 | $0.00 | See FINRA Report |
| Kevin J Longo | 5832246 | 1 | 06/08/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Grady Turner | 4419620 | 1 | 05/27/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harold Bin Cho | 2202603 | 1 | 05/15/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| L Thorne James | 846353 | 2 | 05/14/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |